- The compliance manager role sits within the GCIB Compliance coverage area and will report to the Head of Global Transaction Services (“GTS”) Compliance for APAC.
- The GTS organization provides comprehensive global treasury solutions to clients, including liquidity management, payments and receipts, trade and supply chain finance, foreign exchange, commercial card services, and custody and agency services. GTS is a front line unit.
- The Compliance Manager is responsible for engaging in activities to contribute to the independent compliance oversight of Front Line Unit (“FLU”) and Control Function (“CF”) performance and any related third party/vendor relationships in alignment with the Compliance Risk Management (“CRM”) Program and the Global Compliance Enterprise Policy (GC Policy). As a member of a FLU or CF compliance officer team, the Compliance Manager demonstrates and applies business acumen to promote a culture of compliance and the identification, escalation and timely mitigation of compliance risks. This role exercises judgment and influence, and may constructively challenge FLU and CF leaders to support the CRM Program objectives, balancing business strategy with appropriate controls.
The Compliance Manager is accountable for contribution to the requirements in the GC Policy aligned to compliance officers, including but not limited to the following activities:
- Assist the Compliance Executive in maintaining and communicating regulatory changes, advising and directing business leaders to ensure that regulatory requirements are addressed in their respective process and controls so that their day to day activities operate in a compliant manner.
- Engage other compliance officers, Enterprise Areas of Coverage roles, and horizontal function roles to provide oversight of FLU and CF activities.
- Conduct compliance risk assessments of FLU and CF.
- Contribute to monitoring and testing coverage plans and related metrics for Front Line Unit (“FLU”) or Control Function (“CF”).
- Monitor and test the effectiveness of the front line unit and control function compliance risk controls.
- Identify aggregate, report and escalate compliance risks, issues and control enhancements.
- Execute governance and management routines.
- Identify compliance training needs, provide subject matter expertise to support development of training curriculum, and inspect FLU/CF and third party participation.
- Assist business leaders in preparations for regulatory exams and audits for FLU/CF and related Enterprise Areas of Coverage.
- Bachelor degree holder or equivalent educational experience
- Minimum 10 to 15 years’ experience working in global investment bank
- Excellent knowledge of GTS rules and regulations within the compliance function
- Ability to multi-task and independently drive responses to regulatory/exchange compliance issues/queries
- Solid awareness of controls and governance
- Self-motivated, a team player and results orientated
- Ability to work in partnership with business, shared services and other members in Legal and Compliance in the region
- Outstanding interpersonal and communication skills.