Compliance Control Offer

Job description: Compliance Control Offer

Tasks

• Support the Head, Compliance Asia in ensuring compliance with local regulations and internal policies, procedures and instructions.
• Support the Head, Compliance Controls in managing regulatory issues, trends and emerging risks.
• Support the Head of Compliance Controls in the implementation of the global monitoring program for the second line of defense (2LoD) in accordance with global standards.
• Foster close working relationships with key stakeholders at HQ and other locations (especially Hong Kong) for a consistent control framework and alignment of test steps/methodologies.
• Maintaining good contacts with auditors, regulators/law enforcement and key stakeholders to keep abreast of regulatory developments.
• Support the implementation of the Bank's risk culture initiatives and HR's disciplinary and escalation framework.
• Development and implementation of Compliance-2LoD controls, especially in the EAM business, within the given deadline, including proper documentation and escalation of findings to senior management.
• Participate in compliance strategy roadmap projects and coordinate the completion of head office initiatives.
• Develop QA and testing frameworks, including annual QA and testing plans, risk assessments, testing/QA scripts, procedures and sampling methodologies that take into account regulatory expectations and industry developments.
• Conduct investigations and coordinate escalation to the Disciplinary Committee in accordance with the HR framework.
• Support in ad hoc handling of compliance and market consultations, regulatory inspections and reporting (internal and external).
• Supporting the Head of Compliance and contributing to compliance training programs for employees.
• Managing the disclosure process and working promptly with regulators and law enforcement agencies to provide information.
• Coordination of the implementation, deletion and updating of controls.
• Timely completion and submission of compliance controls in relevant systems.

Requirements

Personal and social skills

• A strong sense of responsibility, integrity and good judgment.
• Thorough, detail-oriented and analytical.
• Dynamic personality with the ability to work independently and in a team environment.
• Perfect organizational skills with the ability to multi-task and meet tight deadlines.
• Courage to speak out and escalate risks.
• Proactive, proactive and willing to suggest solutions to problems.
• Excellent verbal and written communication skills with the ability to create concise and effective presentations and reports.

Professional and technical skills

• A university degree with more than 3 years of experience in Compliance Testing/Quality Assurance or Audit.
• Good knowledge of the regulatory environment and risk management, including the ability to make connections.

We offer

No specific benefits or offers mentioned in the text.