Role Description

Financial Crime Risk & Compliance Monitoring and Assurance (FCR&C M&A):

Identifies and assesses Financial Crime and Compliance risks in Corporate Bank (CB), Investment Bank (IB) and KYC Ops.

Ensures key 1st line of defence (1LOD) controls satisfy financial crime and compliance related risks are appropriately designed, implemented and, where necessary, remediated.

Provides business-side leadership to 1LOD Anti Financial Crime and Compliance Risk frameworks.

Facilitates collaboration and partnership between CB and IB businesses, AFC, Compliance, Non-Financial Risk Management and Technology, Data and Innovation, to ensure E2E controls are well designed and effective.

Your key responsibilities

Manage the life-cycle of internal and external findings from our active independent monitors.

Assess the validity, severity and factual accuracy of findings before acceptance.

Confirm the remediation plans for findings address the issue, root cause and risk and the target dates for the action plans are reasonable

Obtain relevant updates from teams to ensure Findings and action plans remain on track for timely closure and can be successfully validated

Prepare finding and action plan closure documents, obtain relevant approvals and incorporate received feedback to ensure effective closure

Partner with the Embedded Risk Team to keep them abreast of potential findings as well as updates on the finding and action plan closure progress

Provide monthly updates on all new and open Findings to the FCRC M&A Management team

Your skills and experience

Strong internal/external audit engagement (preferred external) including engagement with internal Senior Stakeholders in the organization in form of regular governance forums.

Experience with risk identification, risk assessment, risk prioritization.

Strong stakeholder management skills and communication skills

Analytical skills and attention to detail, with the ability to think laterally around issues, proposing solutions where required and work to high standards and under strong time constraints.

The ability to utilize your own area of expertise and knowledge to contribute to significant improvements in operational processes and policies.

FCRC M&A Findings Lead, VP

Risk & Controls Manager, VP