Control Assurance, Alyst - Snr Assoc, COO Office, IBG
DBS Bank
Queen's Road Central, Hong Kong, China
8天前

Job Purpose

  • To ensure IBG staff are in full compliance with internal operational risk and compliance policies and standards, external regulations and industry’s best practices.
  • To assist all units of IBG in ensuring quality service delivery to both internal and external customers.
  • Provide support to all units of IBG to ensure the compliance with internal operational risk
  • and compliance policies and standards, external regulations and industry’s best practices.
  • Regulation implementation and policy update
  • Conduct compliance check / control self-assessment, document the testing / results and
  • follow up ratification actions if required.
  • Coordinate and organize trainings for operational risk and compliance areas to promote control and compliance culture and knowledge amongst IBG staff.
  • Compliance of AML / KYC related matters
  • Handle Operational risk related matters like RCSA (risk control self assessment),
  • KRI, risk event and ensure there are appropriate ratification and follow up action.
  • Escalate significant risk event to IBG management and relevant parties.
  • Follow up issues and action plan arising from RCSA, risk events, internal and
  • external audits, regulatory inspections and update the relevant system.
  • Monitor implementation of regulations, update internal policy / guideline and conduct compliance review check to make sure full compliance with regulatory requirement.
  • Preparation of regular and ad-hoc reports related to ORM / Compliance / Audit
  • Co-ordinate with HR, Compliance & Risk Management to provide training in line with the business unit's assessments of need.
  • Lead and monitor service quality through SLA / service matrix review and business process re-engineering review.
  • Education / Preferred Qualifications

  • Minimum 3 -5 years’ experience in operational risk management / compliance.
  • Knowledge of Bank internal control policies and procedures.
  • Knowledge of regulatory / statutory policies and industry best practices.
  • University degree in Math / Finance or business related
  • Control and risk orientation
  • Analytical / problem solving skills
  • Customer service orientation
  • Communication and interpersonal skill
  • In depth knowledge on banking operations and financial products.
  • ChinaOthersRegularFull-timeFeb 25, 2019, 3 : 40 : 56 AM

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