Manager Compliance Assurance Lam

Role Purpose. This is a role within Compliance Assurance (CA), which provides assurance activities over regulatory compliance (RC) and financial crime (FC) risks.

The role contributes to the global standardised CA approach, which is aligned to the bank’s Risk Management Framework (RMF). It is responsible for contributing to the delivery of end-to-end assurance work over RC and FC risks and controls. It is a subject matter expert on adequately assessing the effectiveness of risk management activities to meet industry standards, country regulatory obligations and bank policy. 

The role holder will be required to lead testing and contribute to assurance reviews across multiple Global Businesses/ Functions across the region and manage effective relationships with key internal and Business stakeholders.

The role holder will not have direct line management responsibility, but may from time to time lead other individuals in CA in the delivery of assigned work

Main activities:

• Support the design and execution of assurance activities, ensuring that all relevant standards, policies and procedures are met.
• Provide subject matter expertise to support the identification of appropriate review scope and delivery of assurance activities.
• Inform Risk Owners, Control Owners and Risk Stewards of the design and operational effectiveness of the controls within their area of oversight and control.
• Escalate significant control deficiencies in a timely manner.
• Lead colleagues in delivering specific testing requirements within the assurance programme.
• Proactively identify key emerging compliance risks across the Global Businesses/ Functions to identify assurance review topics.