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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Finance - Banking
Min 5 yrs required
Controls Effectiveness Testing Lead (VP) Duties: Provides compliance support to all business divisions and Shared Services functions across all regions of the bank. Protect the reputation by ensuring that employees have the necessary tools and know-how to comply with all applicable internal policies and external rules and regulations. Support all areas of the business as they undertake the important task of managing their legal and regulatory risks. Develop and issue policies, conduct compliance training and perform monitoring and surveillance activities. Oversees the global framework and enterprise wide standards related to the mandated disciplines (Trade Surveillance, Suitability & Appropriateness, Compliance Reviews, Communication Surveillance, Policy & Training, Disciplinary, Registrations, Whistleblowing). Communicate the CCRO Monitoring & Testing framework and serve as a help desk for division compliance testing activities. Maintain global Compliance Testing procedures detailing how Division Compliance units have to plan, execute and report on Compliance Reviews. Conduct periodic meetings with Division Compliance to share Compliance Monitoring, Testing Expectations, best practice cases, issues detected and potential improvements. Be the SME regarding reviews/ inquiries by internal and external audit / regulators regarding Compliance Testing framework & standards. Be responsible for the development / enhancement of enterprise-level functionalities for Testing Work Flow Tool, in close cooperation with divisional Compliance Officers (CCOs). Review Quality of Division Compliance Testing Activities to validate authority with CCRO Compliance Testing Procedure.
Qualification and Experience
Qualifications: Bachelor’s Degree. JD Degree /MBA preferred. 5+ years of compliance, regulatory, or audit experience. Demonstrated capacity for hard work. Enthusiastic and positive approach to challenges. Demonstrated accountability for any processes or projects and proactively manages priorities. Exceptional written, verbal communication and platform presentation skill. Demonstrated analytical skills and knows what questions to ask. Excellent project management skills. Attentive to detail; is solution-oriented and well-organized. Ability to exercise good judgment and realize own limitations and knows to escalate appropriately. High ethical and control standards, commensurate with working in a critical control function. Self-motivated and be a solid communicator within a hierarchical structure. Willingness to undergo on-the-job as well as more formal training for career development. Excellent team-player who regularly engages in knowledge share. Proficient user of IT-tools.
Job ID: 099520
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