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
Key requirements
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
hlee@morganmckinley.com
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