合規(guī)助理副總裁

崗位職責(zé):
部門概括：The?Group’s?regulators?require?the?Financial?Crime?Risk?function?to?assess?the?adequacy?of?the?firm’s?controls,?processes,?procedures?and?resulting?outcomes?to?manage?risk.?This?responsibility?is?met?by?the?Financial?Crime?Risk?Assurance?(FCRA)?sub-function.
FCRA?Controls?Assurance?(FCRA?CA)?is?a?new?division,?situated?within?FCRA,?responsible?for?determining?the?effectiveness?of?the?Group’s?financial?crime?controls,?independent?of?Control?Owners?(who?are?responsible?for?day-to-day?monitoring).?FCRA?CA?covers?all?Financial?Crime?Risk?taxonomies?(AML,?Sanctions,?Anti-Bribery?&?Corruption?and?Fraud)?across?all?businesses,?functions?and?geographies?of?the?Group.?The?division?assesses,?on?an?end-to-end?basis,?the?effectiveness?of?prioritised?FCR?controls?embedded?in?the?first?line?of?defence?and?those?operated?by?the?second?line?on?their?behalf,?and?represents?an?integrated?part?of?the?function?in?discharging?its?assurance?responsibilities.
FCRA?CA?will?deliver?controls?assurance?in?an?efficient,?reliable?and?independent?manner?by?executing?it?via?a?Controls?Testing?Utility?(CTU),?domiciled?primarily?in?offshore?locations;?and?scoping,?coordinating?and?overseeing?these?activities?in?a?globally?consistent?manner?via?a?Controls?Testing?Authority?(CTA).
The?role?will?be?responsible?for?delivering?end-to-end?assessments?of?assigned?controls,?in?accordance?with?Controls?Assurance?procedures?and?the?FCRA?CA?assessment?plan.
The?role?holder?will?be?required?to?support?the?VPs?of?CTU?China?GSC?in?assessing?the?effectiveness?of?assigned?financial?crime?controls,?identifying?and?raising?issues?where?control?gaps?lead?to?material?unaddressed?financial?crime?risks.?
1.?Customise?and?localise?standard?test?scripts?and?then?evaluate?assigned?controls?for?design?and?operating?effectiveness,?raise?issues?as?appropriate.?Ensure?that?assigned?control?assessments?are?accurate,?effective,?abide?by?FCRA?CA?procedures?and?templates,?and?meet?quality?control?requirements;
2.?Ensure?that?assigned?control?assessments?are?delivered?on?time,?in?accordance?with?the?FCRA?CA?assessment?plan.?Supervise?the?delivery?of?assigned?control?assessments?using?experience?and?knowledge?to?intervene?and?redirect?testing?as?required,?resolving?or?redirecting?escalations?as?required;
3.?Manage?control?owners?and?other?stakeholders,?ensuring?the?success?of?each?assigned?reviews,?minimising?contention?where?possible?and?requesting?support?where?deemed?necessary.Manage?the?documentation?of?distinct?control?types,?covering?key?aspects,?such?as?remit,?main?processes?and?handovers?to?other?teams;
4.?Ensure?that?issue?owners?complete?sufficient?root?cause?analysis?for?all?material?issues?and?have?appropriate?remediation?plans?in?place.
Develop?and?motivate?the?testing?specialists?through?coaching?and?on-the-job?training,?ensuring?the?successful?delivery?of?assigned?control?assessments;
5.?Support?the?VPs?of?the?China?GSC?CTU?in?fulfilling?their?CTU?responsibilities?as?required,?including?planning.
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任職資格:
1.?Minimum?of?3?years?proven?experience?in?financial?services?compliance,?testing,?audit?and/or?legal?management?experience?or?equivalent.Good?understanding?of?financial?crime?compliance?and/or?the?aptitude?to?develop?this?understanding?in?good?time,?and?must?be?familiar?regarding?relevant?regional?laws,?regulations?and?the?overall?regulatory?environment;
2.?Minimum?Bachelor’s?degree?in?related?field?such?as?business,?finance,?law?or?equivalent?experience;?Master’s?degree?preferred.?Proven?organisational,?planning,?interpersonal,?managerial,?analytical,?problem-solving,?decision-making,?and?team?building?skills;
3.?Ability?to?manage?conflicting?priorities?effectively?and?proven?ability?to?meet?challenging?deadlines.Experience?working?with?local?and?regional?stakeholders?and?an?understanding?of?global?standards?of?quality.Ability?to?work?with?different?cultural?groups?and?build?consensus;
4.?Requires?understanding?of?the?changing?regulatory?landscape?regarding?compliance?functions?within?the?banking?industry.Ability?to?exercise?discretion,?work?independently?within?broad?guidelines,?tactfully?handle?sensitive?and?confidential?data?and?complete?assignments?timely.?Fluent?in?both?oral?and?written?English.?Proficient?with?Microsoft?Office.
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