This position is with
a leading bank in Asia. As a market leader in the consumer banking business, it
has a full spectrum of products and services, including deposits, investments,
insurance, mortgages, credit cards and personal loans, to help our customers
realise their dreams and aspirations at every life stage.
Designation: VP
Business Compliance
Job Purpose:
A person in this role will ensure awareness of and adherence to
processes, policies and codes of conduct laid down for frontline staff. He/she
will also be responsible for continuously identifying new areas of focus
requiring creation of controls absent or inadequate, process strengthening and
additional monitoring. This persons work will be used for monitoring health
(compliance to standards) and preparing for future risk perceived areas.
Key Accountabilities, KPIs and Job Responsibilities
Acting as the first
line of defence, following are the key deliverables/tracks for the role, where
the candidate will assist his/her leader in achieving the aforesaid objective:
·
Process/standards awareness
·
Helping central teams build the right infrastructure
for CBG teams to access knowledge & information they should stay aware of,
maintained in a structured & easy to access/use manner
·
Continuous enrichment of the process repository to
make it the preferred platform for checking processes
·
Driving and monitoring usage of process repository
put in place
·
Regularly engaging with and coaching of teams
reviewed, to ensure observations on areas of improvement are duly communicated
and tracked for sustained improved performance
·
Creating knowledge depth by ideating &
implementing regular tests/platforms to run such tests, to gauge knowledge
retention levels
·
Regular follow ups to ensure internal or external mandated
trainings are all completed well in time
·
Adherence to processes & standards
·
Critically reviewing information like target
achievements, payouts, audit reports, concurrent audit reports, Sales Health
Check, Customer profiles, Complaints, Transaction Monitoring alerts handling,
Mystery Shopping and other reports to detect trends to focus
·
Equipped with knowledge of sales & client
interface best practices/industry developments
MANDATE
·
Minimum 7 - 9 Years’ experience in banking, first
line of defence (FLOD), continuous audits and process controls
·
Experience of multi-tasking, managing multiple
stakeholders and independently having senior level interactions
·
Prior exposure to process writing, controls and
governance
Education / Preferred Qualifications:
·
Bachelor’s degree from a recognized university
·
Post graduate qualifications are desirable but not
necessary if suitably compensated by top notch exposure to above listed
experience
·
Professional qualifications or certifications on
process adherence, audits, etc. are desirable but not mandatory
Core Competencies:
-
Self-driven and action oriented
-
Planning & organising
-
Displays ownership of outcomes
-
Highly skilled at Problem solving
-
Assertiveness, influencing & negotiation skills
-
Multi-tasking in high complexity & time critical
situations
-
Teamwork & collaboration
-
Change / innovation orientation
-
Communication, including senior stake-holder’s
management
-
Vendor management
-
Business Focus
-
Customer Focus
-
Developing & Coaching
-
Leadership
Work Relationship:
Reporting
to CBG Business Management Support Team (COO)
Working
with Branch staff, RMs, City Head(s), Operations, vendor(s), Compliance, Risk,
Consumer Banking
product & distribution teams
Interactions w/direct reports of Heads of Departments and others defined from time to time.
#L1-ASI