The primary focus of this role is to support the Regional Head of CCT and CCT Team Leader in the performance of CCT reviews, ensuring the smooth execution of the CCT Testing Plan. The key objective is to assess the adequacy and effectiveness of internal controls in relation to Compliance-owned risk types against internal policy and regulatory requirements. The activities must follow the CCT global standards, framework, and methodology.
- Execute the CCT Testing Plan, and ensure that testing activities undertaken are in line with prescribed requirements and delivered on a timely basis.
- Take a lead in the scoping of reviews and provide guidance to junior team members on the testing approach to ensure it is in line with CCT methodology.
- Ensure issues raised are supported with adequate evidence.
- Update the progress of CCT reviews accurately in the tracking system.
- Agree remediation actions with the relevant stakeholders and ensure that they are properly tracked to completion. This includes prompt follow-up on the remediation progress, validation of issues, timely identification and escalation of concerns and slippages.
- During the course of each review, establish relationships with key stakeholders, including those from Compliance, Front-Office, and other Infrastructure Groups.
- Sharing best practice and lessons learnt with CCT colleagues across the region and globally.
- Contribute to Compliance plans through the delivery of CCT objectives, and leading, or participating in, Compliance enhancement projects.
- Represent CCT at relevant Business and Compliance governance forums as appropriate.
Skills & Qualifications:
- Knowledge of banking and securities laws, regulations, directives, regulatory expectations, and risks affecting the Bank.
- Good appreciation of risk and control frameworks, with specific experience in controls testing.
- Experience in technical and product areas relevant to the activities of DB in APAC.
- Strong investigative and analytical skills.
- Ability to influence and communicate clearly and effectively on regulatory matters to key stakeholders at all levels.
- Effective team player who is receptive to the exchange of ideas and constructive feedback.
- Drive, discipline and enthusiasm to work independently under pressure and within tight deadlines.
- Steadfast commitment with a strong desire to be successful in the role.
- Ability to generate innovative ideas and challenge the status quo.
- A professional business attitude in the workplace.
- Multi-cultural awareness and sensitivity.
- Availability to travel occasionally for work.
- Minimum 7 years’ testing, Compliance, auditing or regulatory risk management experience in a global financial institution, regulator and/or similar environment.
- Experience of relevant Businesses / Products is an advantage.
- Educated to degree standard. Relevant professional qualifications (e.g. CPA, CFA) would be advantageous.
- Fluency in spoken and written English (and other languages) is essential.
- Proficient in the use of Microsoft Outlook, Project, Visio, Excel, Word, and PowerPoint.