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Vice President, Compliance Controls, Oversight & Control, Hong Kong

Req #: 180010374
Location: Hong Kong, , HK
Job Category: Compliance
Potential Referral Amount: 40000 Hong Kong Dollar (HKD)
Compliance plays a critical role in the successful execution of the firm’s compliance mission. The Compliance function ensures the development and maintenance of a strong compliance culture by developing and maintaining a program infrastructure that identifies measures and monitors adherence with applicable laws, regulations and rules that govern our business globally. Compliance teams work closely with business, functions, legal, risk, regulatory and audit teams to provide expertise on compliance matters, assess and measure compliance and related risk and, monitor and test the adequacy of the firm’s compliance control environment.
This role is accountable for the execution of the Compliance Risk and Control Self-Assessment (RCSA) and management of Compliance owned issues (including creation, progress and closure of issues and action plans, issues thematics, trend analysis) within Compliance. The jobholder will report to the Manager Compliance Programs and Controls and will provide day to day support and direction to the RCSA and Issues Management Teams and to Compliance Control Officers and their teams on all matters related to RCSA and issues and action plan management.
This position requires a strong knowledge and background in issues and controls management as well as familiarity with compliance or audit best practices. Familiarity with other financial services and regulatory requirements would also be a plus. The ability to communicate effectively and work independently at speed is critical as the jobholder will be required to work extensively across Compliance in order to execute the RCSA to the required deadlines and to ensure issues are managed expediently and efficiently through to resolution.
  • Manages the RCSA & Issues Teams and provides guidance and direction to Compliance Control Officers in executing the RCSA and Issues Management programs
  • Ensures that the RCSA and Issues Management programs are aligned to Compliance goals and strategies
  • Provides guidance and direction to the RCSA Execution Team, Issues Management Team  and Compliance Control Officers ensuring that any new changes to execution strategy received from COR or O&C Central Team are incorporated and executed against
  • Responsible for disseminating the Firmwide RCSA Standards and Procedures and Issues Management Procedures produced by COR and O&C Central Team and updating internal Compliance RCSA and Issues Management processes and procedures to align accordingly. Will also assess the RCSA Standards and Procedures for impacts to the Compliance issues management process and update internal procedures as appropriate
  • Responsible for RCSA and Issue Management reporting to senior audiences including:
  • RCSA Cycle progress tracking and delivery and reporting to CCC
  • Independent Challenge Point person for Operational Risk
  • Point person for RCSA/ Issue Management Audits
  • RCSA and Issues Themes and Trend analysis
  • RCSA Inherent Risk calibration
  • Issues Root Cause analysis
  • Aging and past due Issues and Action Plans
  • Produces RCSA and Issues Management updates for the combined RCSA and Issues Management Working Group and the Control Officer Management Meeting and the monthly Compliance Control Committee and Firmwide Control Committee
  • Provides specific slides, reports or other adhoc issues related information or analysis, required for  firmwide deliverables or artifacts (Compliance RCSA Top Down Workshops;  Residual Risk Decks for example)
  • Liaises closely with Audit and SRS ensuring issues raised by them are correctly assigned and progressed as required
  • Minimum of 7+ years working in financial services or comparable control function such as Audit, Compliance, Finance or Risk at a Leadership level
  • High performer with strong Leadership skills with examples demonstrating success
  • Knowledge of Compliance standards and best practices; experience in governance and oversight roles
  • Excellent written and verbal communication skills; ability to build rapport, garnering respect and able to exercise authority in a collaborative cross-cultural environment
  • Advanced skills in Excel and Powerpoint
  • Advanced data manipulation and analytical skills with the ability to analyze trends and develop graphs and charts from large data sets
  • Critical thinking skills required
  • Enthusiastic, self-motivated, effective under pressure, and flexible
  • Excellent organizational and time management skills
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