Compliance Risk Management Officer
Within the regional Transversal Risk Management department, the regional Compliance Risk Management team leads the definition and implementation of a sound Compliance risk management framework for Asia Pacific.
The Compliance Risk Management Officer APAC will reinforce this team which covers Compliance risk assessment, Compliance procedure governance, Compliance incident management, audit management as well as regulatory watch governance.
Responsibilities:
Compliance Risk Management
- Ensure appropriate APAC Compliance governance over the deployment of Risk Control and Self-Assessment (RCSA) for Compliance-owned processes
- Coordinate and contribute to the check & challenge of Compliance risks which have been assessed in the RCSAs from the business lines and from Compliance operational entities
- Contribute to risk management related exercises and reports for senior management at regional and global levels
- Ensure adequate reporting on Risk Management matters
Compliance procedure, incident and audit management framework
- Ensure implementation of procedures throughout the Compliance organisation in collaboration with local procedure managers
- Perform 2nd level of controls on procedure management at territory level
- Work with Territory Compliance and coordinate Regulatory missions and IG missions including information and documentation collection to address regulatory/audit requests
- Provide status report of open/overdue recommendations to Country Compliance, Domain Compliance and Regional COO, on a regular basis
- Issue dashboard to communicate notable issues identified through regulatory and audit missions, to senior management
- Work closely with RISK, local Compliance and Operational Permanent control teams to ensure the appropriate management of Compliance-related incidents
- Perform Check and Challenge on Compliance-related incidents
- Issue dashboard to communicate recurrent and regulatory incidents to senior management/ Head Office
Compliance Thematic Reviews
- Perform thematic Compliance reviews as required
Oversight over the regional regulatory watch tool
- Monitor and coordinate the use of the regulatory watch tool to ensure compliance with Regional Regulatory Watch Policy
Communication and reporting
- Ensure that high quality reports are published
- Communicate on control and risk management matters with relevant Compliance / Business / Territory stakeholders
- Provide status report to Management on a regular basis
Experience and Qualifications required
- Experience in coordination, reporting and communication with senior management
- Experience in risk / control / audit
- Fluent in English
Company Reg No.: 201131609D | License No.: 11C4684 | EA Reg no: R1660533
