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Years of Experience
Date Last Verified
Risk and Compliance Officer Duties: Implementing and monitoring of compliance processes, procedures and controls relating to key compliance programs. Logging of compliance investigations. Providing assurance on: Compliance with all external regulatory requirements. Compliance with the Group, policy set. The execution of Risk Mitigation Plans., internal control environment. The monitoring, follow up and execution of group and BGLA internal audit findings Appraising the reliability of internal controls, identifying areas for improvement and monitoring corrective action. Delivering effective, relevant and timely reports on findings of assurance activities undertaken in relation to risk and compliance environment. Support the Risk & Compliance Team, to review the implementation of the group risk management framework across all countries where operates. Support Senior Management in compliance initiatives. Assist and support the Risk & Compliance function in maintaining an effective regulatory framework for the region. Support Senior Compliance Manager with the coordination and approach of Conduct Risk and liaise with the first line of defence, in order to proactively monitor Conduct Risk. Assist in ensuring the risk appetite for compliance is appropriately applied across the region. Assist in the management and continuous enhancement of the various components of the Enterprise Risk Management Framework. Provide support in the update of risk registers, collection and analysis of risk incident reporting, performing training, etc. Responsible for drawing up and implementing the annual risk-based compliance monitoring programme, complementing the assurance programme undertaken by, as applicable, Group, MU and mandates and taking into account the business risk framework. To plan, organise and carry out assurance activities including the preparation, tracking and reporting on findings, scheduling and assigning work and estimating resource needs. To make recommendations on the systems and procedures being reviewed, report on the findings and recommendations and monitor management’s response and implementation of recommendations. Liaise with Internal Audit and follow-up on identified audit points to ensure timely remediation and closing. Manage the reporting and logging processes by developing, capturing, receiving and organizing appropriate transaction reports, as required by policies relating to gifts & entertainment, anti-corruption, anti-money laundering, HIPAA and third-party risk management. Coordinate with the Compliance team to create processes to identify, resolve and/or escalate potential issues to Head of Risk and Compliance relating to monitoring reports. Coordinate processes to identify, resolve and/or escalate issues raised through the Bupa Compliance Hotline, and following-up to ensure issues are addressed and resolved in a timely manner. Log and monitor compliance investigations, and ensuring proper documentation is captured and maintained for tracking purposes. Participate in compliance reviews, projects and training efforts; act on behalf of the Head of Risk & Compliance, as required. Complete other responsibilities, as assigned. Support to embed a culture of pro-active 1st line ownership of compliance risk management. To ensure the appropriate regulatory risk/compliance risk appetite is applied to all business decisions and control requirements.
Qualification and Experience
Qualifications: Bachelor’s degree preferred. (Masters Degree, LLM, JD Degree, or similar is a plus) 4-7 years of relevant experience in Compliance, Risk and/or Audit and/or Legal. Experience working with multi-national companies or law firms, preferably with exposure in different countries in Latin America Knowledge of the insurance or health industry in Latin America Extensive proven experience in a business assurance and compliance role Practical experience in implementing assurance and compliance frameworks, processes, tools and technology An understanding of the international regulatory environment, especially in the US Robust ability to challenge at the most senior level within the business Strong verbal and written skills in English, (Spanish and/or Portuguese is a Plus) Excellent interpersonal skills characterized by effective interactions with a diverse range of internal and external constituents, stakeholders and audiences. Ability to construct concise investigation reports and documentation of related events. Excellent team player. Interpersonal, communication and negotiation skills, with emphasis achieving results and successful outcomes through consultation and conciliation Ability to work in a multi-ethnic and multi-cultural environment. Strong knowledge on MS office product suite (Word, Excel and PowerPoint).
Closing Date: 28/02/2018
Job Reference: bupa/TP/42442/1268
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