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Risk Control Self Assessment, Compliance Manager
- Risk and Controls
- Compliance Operations
About Our Client
Our client is a leader in global banking with over 100 years presence in APAC. They provide financial services across corporate and investment banking, asset management and private banking for local corporates and institutions as well as multi-nationals, governments and private clients. They can provide both strong career progression and exposure to many different areas of financial services.
- Provide strong thought leadership and communication skills in relaying global compliance operations Controls information to global colleagues, stakeholders and staff
- Lead and drive risk control assessments through execution and ensure that all aspects of the assessment lifecycle are performed including but not limited to planning, substantiation/controls testing and issue/action plan reporting
- Drive the global compliance Controls organization strategy and ensure all risk control self assessment artifacts are appropriately completed including: end to end process flows used to facilitate the identification of risks and controls, handshakes, risk and control matrix, residual risk reviews etc.
- Manage and build out a global risk control, self assessment team; ensure staff is globally supported, guided and clearly understands the scope and impact of their role
- Effectively partner and drive the control agenda with global compliance stakeholders, Compliance, Audit and Regulatory groups
- Ensure adherence with the risk controls team Oversight & Control Standards and other critical firm policies
- Partner with global and regional teams and stakeholders to deliver on controls initiatives ( development of user tools etc.)
- Support the regional Business Control Committee meetings on a monthly basis.
- Ensure regular updates on key control issues/ initiatives are communicated to the regional and global stakeholders.
- Understand and comply with regional and regulatory requirements pertaining to gloabl compliance operations
The Successful Applicant
- Bachelor's degree minimum requirement
- Candidate should have 7-10 years of control, audit and compliance operations experience
- 5 years of proven success managing and leading a global or regional team
- Strong understanding of internal control concepts with the ability to evaluate and determine the adequacy of controls by considering business and IT risks in an integrated manner
- Exceptional critical thinking, project management, analytical and communication skills (i.e. communicate effectively at all levels of the organization)
- Possess sense of urgency, intellectual curiosity, resourcefulness, excellent analytical and problem solving skills
- Excellent verbal and written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner
- Demonstrated experience in being results driven and skilled at influencing key stakeholders and peers
- Proven experience as a key contributing member of a high performing organization
- Proven ability to adapt to a rapidly changing business environment, quickly assess situations, and capitalize on change
What's on Offer
Our client can offer a compliance role that operates at a global level, interacting with a variety of senior stakeholders from different areas of the organisational structure. The candidate will get strong exposure to dealing with AML teams, and operational teams of different divisions (investment/corporate/private banking/asset management). The position provides exposure to different investment products and business functions as well as an attractive career path. The opportunity to grow with the organisation are plentiful and they are a global bank operating across multiple geographies, in over 100 countries.