Run the bank
Identify and assess the key compliance risk issues applicable to all business activities through various risk assessment exercises
Monitor and evaluate the overall effectiveness of MI governance frameworks in reducing overall risk level within the business lines
Designing, developing, implementing and maintaining MI Compliance programs (i.e. MI GCP and local controls) across APAC entities
Report findings and provide solutions to Senior Management in addressing control gaps or ways to mitigate the risks highlighted in the risk assessments
Conduct or assist with special investigations and projects as deemed necessary by senior Compliance and business management.
Ensure winding down the duplicated controls in place within Compliance APAC
Assist in compliance related matters during examinations by the Banks regulators and internal auditors / IG.
Integrate MI governance frameworks across all levels of the Compliance organization.
Coordinating with the Group and CIB / WM MI domain on various global MI projects related with risk analysis, policies, testing and reporting
Operational Efficiency :
Drive continuous improvement on tools and processes to avoid duplicated controls and optimize compliance review programs
Provide briefings to senior Group & CIB Compliance and GM business stakeholders such as GBL Heads
Identify and engage key stakeholders across businesses and functions.
Competencies (Technical / Behavioural)
University graduate with major in Accounting, Business Administration, Economics, Finance or Law or equivalent qualification
At least 05-10 years regulatory or compliance experience
Demonstrated staff management experience across different countries and nationalities.
Demonstrate capacity for sound project management, analytical and problem solving skills with the ability to exercise sound and balanced judgment.
Demonstrate strong interpersonal skills with the ability to communicate and consult at all levels, especially with senior management.
Committed to confidentiality, integrity and objectivity
Good knowledge of securities markets, businesses, products
Familiar with securities and exchange rules and regulations
Proactive in identifying risks and proposing solutions
Good written and oral communication skills
High attention to details
Ability to handle multiple tasks simultaneously and work under tight deadlines