Lead Control Assurance

Responsibilities: 

'1) Support the manager of the CPLE CTL team to identify key risk areas
2) Identify key business changes through stakeholder connects and assess key risks for the perimeter concerned as directed by the CPLE CTL Manager
3) Regular of knowledge on internal incidents, external enforcement and regulatory developments
4) Participate in assessment of existing controls as per the defined control plan and the direction of the CPLE CTL management
- ensure a good knowledge of existing policies and procedures on which the control assessed is attached to
- assess the design and the execution of each existing formalized controls on schedule and in accordance with CTL standards and methodology
- identify gaps between existing controls and expected controls and design a cartography to highlight issues to fully cover the risk at stake
- ensure identified gaps are debriefed to relevant stake holders, corrective action plans agreed and contribute to report writing
- identify weaknesses, timely escalate any issues and define corrective action plan
- record keeping of all working papers
5) show autonomy in delivery of assigned duties including planning of own work, proactiveness and timely escalation
6) ensure adherence to the global operating guideline on second level control
7) establish a good working relationship with both internal & external stakeholders
8) contribute towards development of CPLE/CTL methodologies, policies and procedures in line with global guidelines
- Contribute to the writing of the CTL monitoring methodology update document detailing in the context of the creation of the function
9) Other responsibilities
- Maintain a detailed and updated working knowledge of various laws and regulations pertaining to SFC, HKMA, MAS.
- Maintain a detailed and updated working knowledge on the existing SG policies framework, compliance incidents and any key regulatory development at group and regional level.

 

Technical:    

   Fair knowledge of Compliance risks in the global banking environment.

This may include the risks related to:

Required
Experience in below topics including but not limited to:

- Market Integrity (Market Abuse, Market Transparency),
-Client protection
- Laws and regulations related to Anti-Bribery and Corruption
- Prevention of tax evasion and related laws and regulations. E.g. FATCA, CRS, etc.
-Data protection/archiving laws and thematics
-Compliance incidents management
-MiFID regulations
-Personal Account Dealing
-European Market Infrastructure Regulation (EMIR)
-Knowledge of equities, derivatives and bond markets
 

Added advantage
- Anti-Money Laundering, Terrorist financing, Embargos & Sanctions (OFAC)
- KYC and client due diligence activities

Functional:

Fair understanding of Risk and control assurance activities which may include audit or control testing experience.

Prior experience in performing  testing reviews, discussing and agreeing key issues with senior stakeholders

Fluent Command over English language with excellent report writing and presentation skills.

Knowing French can be an advantage, although not a necessity.

Experience of working on multi location regional/global reviews.

Good stakeholder management skills which will include both internal and external stakeholders.