Compliance Risk & Testing, VP
8 - 10 years experience •
Principal Duties and Responsibilities
Conduct compliance risk assessment of the offices in the Americas on a regular and continued manner.
- Perform risk assessment.
- Maintain and upgrade KRIs in the form of a database/data repository to support the development and implementation of a multi-yearrisk assessment process that houses the regional risk frameworks, local inventories of compliance obligations.
- Report the assessment result to the management and disseminate with stakeholders.
Conduct compliance testing at offices in the Americas region.
- Lead compliance testing, identify issues and make recommendations and report the result.
- Follow up on the findings of testing and on the status of remediation process.
Understand the Americas offices’ compliance status and the compliance framework.
- Perform offsite monitoring of the offices in the region; review and understand the offices’ Compliance Action Program, Compliance Committee Minutes, external/internal exam/auditreports, etc.
Respond to individual inquiries/ issues from each office etc.
- Function as a liaison with the Head Office Compliance Group and offices in the Americas.
Conduct other related tasks in ACLD.
- Eligible to work in the US
- Bachelor’s degree
- 7+ years of compliance/complianceauditexperience
- 3+ years of compliance risk assessment and/or compliance testing
- Corporate / commercial bankingexperience
- Strong analytical and organizational skills
- Advanced Excel/Access skills
- Excellent interpersonal and communication skills
- Ability to work cooperatively with other members of the team and the Department