- Jul 22, 2022
Morgan McKinley is working in partnership with a regional Corporate & Investment Bank with strong footprints and relationship in the Asia region.
Role and responsibilities
- Contribute to the annual Risk Control Self-Assessment based on the second level control results
- Execute local and regional second line controls as determined in the annual Compliance Risk Assessment
- Scope second level assessment reviews and define the testing plan
- Analyze the process and the overall control framework in place to mitigate the compliance risk and identify any control weaknesses
- Assess the design and execution of existing controls in accordance with Bank standards and methodology to identify any weaknesses
- Track and verify the completion of corrective action plans agreed with stakeholders
- Provide regular updates of Control assessments to key stakeholders in APAC or in other relevant regions as required
- Collaborate with the Head Office Controls Team, Head Office and regional first level controls team and other regional Compliance Control functions
- Provide KPI, KRI and key results/key information for management reporting
- Maintain updated knowledge of the business line organization as well as its strategic developments and key projects
- Contribute to the review and update of the Control Checklist list methodology documents
- Identify possible use of data analytics and artificial intelligence in executing level 2 control missions
- Identify processes that can be offshored/streamlined under the guidelines given by the Head of Compliance Control Monitoring
- Maintain a detailed and updated working knowledge of key regulators within APAC
- Maintain a detailed and updated working knowledge on the existing Compliance policies framework, Compliance incidents and any key regulatory development at group and regional level.
- Support Head of Compliance SG on internal and regulatory projects, and assist to review and implement policies and procedures
- At least 4 years of relevant experience (eg. Internal Audit, Monitoring and surveillance or other related areas)
- Strong knowledge of regulations (SFC, HKMA, MAS rules and EU directives, etc)
- Strong knowledge of Capital Markets & Investment Banking Operations/environment and associated products.
- Data analytical skills with advanced Excel experience
Only shortlisted candidates will be responded to, therefore if you do not receive a response within 14 days please accept this as notification that you have not been shortlisted.
Morgan McKinley Pte Ltd, EA License No: 11C5502
Lee Boon Hou (Hagen), Registration No: R1870932