The candidate will be part of the Regional Assurance department within the Compliance Office for Asia. Primary responsibilities include managing the monitoring activities for the APAC region supporting other regional assurance reviews.
The incumbent will lead a team in Bangalore in completing Compliance Monitoring & Testing activities including, but not limited to, conducting risk assessments, planning and executing reviews, conducting issue analysis and report issuance.
Strategic
- Responsible for monitoring activities for assigned APAC Branch Units including oversight of monitoring programs, planning and completing planned reviews.
- Support planning and execution of Regional Monitoring and Testing Reviews
- Undertake the role of Review Manager for reviews and supervise team in completing those reviews and validating remedial actions.
- Review the work of the team, including documentation, sufficiency/quality of fieldwork etc, and ensure that they are well documented, and using appropriate business and technical language.
- Provide regional oversight to the Compliance Monitoring teams in other APAC countries. This includes proactive outreach to evaluate needs of local teams, conducting QC checks of completed reviews, and providing trainings where relevant.
- Evaluate internal controls design and effectiveness and where issues identified, conduct root cause analysis and propose remedial actions.
- Report results to ACO Management and relevant stakeholder in an effective and timely basis.
- Build relationships with peers and stakeholders within the organization and effectively manage stakeholder relationships to a mutually accountable, productive, respectful and trusted level.
- Act as a leader and role model, and continuously identify and pursue opportunities to improve self, the team and the process/function
- Collaborate with relevant stakeholders across the region and globally as applicable on enhancement of Monitoring methodologies, and sharing best practices and information
- Deploy use of data analytics and/or user-tools to achieve efficiencies in reviews
- To lead, play a significant role and / or support compliance projects
Financial
- Contribute to process improvements to increase efficiency and achieve cost-optimization
- Manage resource allocations
Customer
- Build relationships with peers and stakeholders within the organization and effectively manage stakeholder relationships to a mutually accountable, productive, respectful and trusted level.
- Collaborate closely with global Testing and Monitoring colleagues to share knowledge, best practices, and drive consistency and enhancements
People
- Lead and supervise the team based in Bangalore
Timely completion of annual review plan
Reviewing the work of the team, including documentation, sufficiency/quality of fieldwork etc, and ensure that they are well documented, and using appropriate business and technical language.
Evaluate internal controls design and effectiveness and where issues identified, conduct root cause analysis and propose remedial actions.
Report results in an effective and timely basis, leading to appropriate remedial action and on-going management of risk
Act as a leader and role model and continuously improve self and team
Staff Development – to identify talent and work with them on their career development plans
Other/ Control
- To play a leading role in regional and global testing and monitoring initiatives.
- Other responsibilities relating to the function and management of ACO as instructed by line management from time to time.
Job Requirements:
- Minimum Bachelor's Degree
- At least 3 years in people management capacity.
- Minimum 10 years in Compliance or Internal Audit role
- Strong experience in Monitoring/Testing (Core Compliance)
- Proven leadership skills, nurturing and developing their team members
- Able to initiate and deliver change
- Strong analytical skills to interpret data and draft reports
- Strong communication and presentation skills to influence using technical data and information to support line of reasoning
- Managing conduct of regional and local reviews
- Effective people management, including mentoring, coaching, career development, talent management of direct staff
- Ability to communicate effectively both verbal and written especially on issues to stakeholders (e.g. FLOD, ACO Mgmt, Local CO etc)
- Proficiency in one or more asian languages (e.g. Japanese, Bahasa, Chinese etc) is an advantage due to periodic need to read regulations and documents in these languages.
We regret to inform that only shortlisted applicants will be notified.
Job ID: 10065603
