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To take ownership and responsibility for the timely delivery and completion of the Bank's risk based compliance monitoring plan and program for Regulatory Compliance and Financial Crime.
To provide advice and guidance on compliance monitoring issues to Compliance, Financial Crime, Business and Support staff and other concerned stakeholders as required.
To identify risks through compliance monitoring and escalate such issues to senior management for review and resolution.
To promote a bank wide 'culture' of Compliance centered on awareness and understanding of Compliance risks and responsibilities consistent with expectations of the Board and regulatory authorities
To maintain Compliance independence and objectivity.
Principal Responsibilities, Accountabilities and Deliverables of Role:
Conduct and execute Bank wide risk based Compliance Monitoring Plan and Program
Maintain and update Bank wide risk based Compliance Monitoring Plan and Program and suggest additions and amendments as required
Develop management information for all monitoring tests and reports
Conduct transactional surveillance across business lines and support areas
Conduct cyclical thematic monitoring reviews across business lines and support areas
Conduct periodic business / desk reviews as required
Proactive and timely escalation of issues with supporting information.
Ensure timely resolution of outstanding issues
Some planning and co-ordinatation of monitoring oversight of new EU subsidiary.
Act as subject matter expert across the Bank for all compliance monitoring issues
Support branch and representative office activities and local compliance officers on relevant monitoring issues
Help to develop, review, update and communicate Compliance Policies and Procedures, with specific emphasis on monitoring, to enable the Business and the Bank to comply with all applicable regulations and requirements and operate within the Bank's Risk Appetite
Assist with any compliance monitoring specific investigations on behalf of regulatory and other competent authorities and Senior Management of the Bank
Participate in, and attend, relevant seminars or forums at the direction of management.