Overview

In order to achieve its mission statement, GBS Compliance activities are centred around five key objectives, in support of senior management, business lines and resource functions, where the business lines have first level accountability and responsibility, and where GBS Compliance’s responsibility is with respect to compliance, reputational and conduct risk matters. These five key objectives are as follows:

  • Providing advice and policy development
  • Facilitating knowledge and awareness
  • Undertaking monitoring and surveillance activities
  • Performing risk assessment, review and control activities
  • Managing the relations with regulators

Key Responsibilities:

  • Producing an annual CFT/GBS Policy Roadmap, listing the need for the review or creation of policies in collaboration with CFT Group and CFT/GBS experts and advisors;
  • Coordinating the delivery of the CFT/GBS Policy Roadmap in collaboration with CFT Group and CFT/GBS experts and advisors;
  • Communicating to management and stakeholders about the delivery of the CFT/GBS Policy Roadmap;
  • Ensuring that staff are made aware of the created/reviewed policy;
  • Maintaining a global repository of Policies applying to GBIS (excl. PRIV) staff; and
  • Strengthening the governance and methodology for the creation/review of policies to ensure that the Policy library remain exhaustive, consistent and simple.

Competencies and Work Experience:

  • Experience in Investment Bank
  • Sound knowledge & appreciation of regulatory requirements in the financial industry
  • Demonstration of legal research and writing skills needed for drafting Compliance policies
  • Experience of coordinating input from various contributors to a common project
  • Experience of interacting in an international environment
  • Excellent communication skills (both oral and written)
  •  Self-motivated with strong work ethic & desire to deliver to high standards
  • Team player
  • Project management capability; planning work, meeting deadlines, multi-tasking, excellent organizational skills

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