We’re a financial services organisation that serves more than 40 million customers, ranging from individual savers and investors to some of the world’s biggest companies and governments. Our network covers 64 countries and territories, and we’re here to use our unique expertise, capabilities, breadth and perspectives to open up a world of opportunity for our customers.
- Review and assign Regulatory Developments alerts to the respective regional reviewers
- Creation of ‘Regulatory Development’ records from alerts, and the assignment of actions and sub- actions, which will serve as a workflow management solution
- Being responsible for enhancement and documentation of the process
- Preparation of high level summary of the ongoing regulatory developments and share it with the business on a periodic basis
- Prepare and share daily, weekly, monthly Management Reports
- Assist in UAT and provide feedback to the IT / business
- Process SME is required to perform periodic Quality check on open/completed/assigned alerts and share the report with the business in the absence of managers.
- Timely & Accurate action of the alerts
- Timely & Accurate execution/delivery of reports
- Ensure relevance of data and regular review
- Ensuring delivery of ad-hoc reports and requests from stakeholders if any
- Ensure compliance to the Governance Framework and Group standards and policies
- Timely and accurate quality checks by the process SME in the absence of managers
- Help identify and share best practice in a Compliance space
- Cultivate a positive and collaborative working environment with the Compliance function
- Build and maintain close working relationship with partners in Regulatory Compliance or elsewhere and should be able to work and co-ordinate with remote sites
- Communicate effectively to different audiences, including both Regulatory Compliance and any other internal customers
- Actively contributes to RCA process and in both anticipating and mitigating potential risks
- Be aware of the Operational risk and act in a manner that takes account of operational risk considerations.
- Clear evidence that the team understands the respective operational controls and standards to contain compliance risk.
- Any significant compliance issues reported appropriately and in a timely manner.
- Identify process improvements. Discuss these with the Business Partner for implementation.
- Identify best practices across various geographies and effectively disseminate these to others.
- Proactively alert the Line Manager of highest perceived risks as they arise.
- Good command of both oral and written English.
- Attention to details and good analytical skills.
- Strong interpersonal skills and able to build and maintain relationships.
- Utilizes own initiative to resolve issues. Ability to support decisions with sound reasoning.
- Fast learner – Able to understand new regulations, systems, business concepts etc.
- Excellent time management and prioritization of tasks.
- Flexibility to work in different shifts.
- Knowledge of Regulatory Compliance, Tax Compliance, Legal Risk Steward is necessary.
- This is an Individual Contributor role
- Maintain good relationship with stakeholders
- Open to ideas and balanced decision making
- Understanding of the different Business Lines of Financial institutions.
- Knowledge of Financial Markets.
- Specific knowledge of Regulatory affairs/Compliance and Risk management framework
- Experience in a role involving understanding systems and suggesting enhancements.
- Good Knowledge of MS Office.
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