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Job Purpose
To support the BRCM in managing both compliance and operational risk activities for Investment Banking division i.e. Client Coverage & Corporate Development, Capital Markets and Debt Markets
Key Responsibilities
- To escalate requests from Regulators to the BUs for information or responses to consultations etc and monitor responses are obtained prior to deadline.
- Assist in the review and assessment of compliance risk activities. Assist in the implementation and monitoring of operational risk management activities.
- Assist in the implementation of business continuity management activities within the timeframe and in accordance with the Group's Business Continuity Management Policy.
- Monitor compliance risk activities and validate status of compliance to regulations. Review of regulatory reports such as SCEL, CSAR, CDDM etc prior to submission to Compliance Department etc.
- Review and update templates, forms and SOPs. Coordinate on audit matters and submissions to authorities. Prepare, review, and validate the accuracy of all operational risk and compliance submissions and ensure timeliness.
- Serve as the primary liaison with Group Operational Risk Management and Group Compliance to ensure alignment on risk and compliance matters.
- Ensure full adherence to Group policies, manuals, and procedural guidelines issued by Group Operational Risk Management and Group Compliance. Promptly escalate all operational risk and compliance issues to BRCM and other relevant stakeholders, as appropriate.
- Coordinate and support the delivery of periodic training sessions in collaboration with DRCO and ORC.
- Champion the development of a strong risk and compliance culture by fostering awareness and accountability across the organization. Oversee the preparation, review, and validation of all operational risk and compliance submissions to ensure accuracy, completeness, and timely submission.
- Ad-hoc duties as required from time to time.
Skills/Requirements
Qualifications and Experience
- Bachelor's degree in a related field or professional qualification
- 5 years of experience in related field of compliance, risk, audit and project management
- Skills and Knowledge
- Excellent interpersonal, written and oral communication skills
- Excellent stakeholders management
- Good understanding of various products/services and relevant regulatory rules and regulations
- Well informed on the corporate and economic developments
- Good analytics skills
- Good administrative skills (familiarity with Microsoft Outlook, Teams apps)
