AVP, Compliance Monitoring and Testing

My client is a leading European Investment Bank with a strong presence across Asia. The monitoring and testing team is primarily responsible in the firm for providing assurance on the effectiveness of conduct and reputational risk management through the review of relevant firm controls, culture and behaviors. 

Key responsibilities:

• Validate compliance against established policies and procedures and applicable regulations;
• Develop recommendations for corrective action based on review findings;
• Work with advisory compliance colleagues and management to agree on appropriate action plans;
• Present and report review results to Business and Compliance Management ;
• Satisfy standards for delivering high quality value added monitoring & testing reviews;
• Provide guidance on compliance and supervisory findings related to review area;
• Have a broad knowledge of the Firm's business and regulatory framework in which it operates;
• Liaise with product advisory compliance colleagues and management to keep abreast of current business developments and regulatory issues that may impact the risk environment of the Firm

Essential Skills:

• Bachelor Degree or equivalent. CFA, CPA or other professional qualifications would be an advantage
• Strong understanding of investment banking businesses including but not limited to markets, banking, treasury
• Strong grasp of regulatory and conduct risks frameworks including key drivers of compliance risks faced by businesses in an investment bank
• The candidate must be detail-oriented, organized, articulate and proactive in responding to concerns and questions regarding review work
• Track record of high performance and effective execution
• Ability to manage multiple priorities, tasks and stakeholders
• Analytical skills with a strong risk/control mindset
• Strong interpersonal skills with excellent written and oral communication skills
• Candidate must be a team player who is able to work independently and as part of a regional compliance testing team

 Desirable Skills:

• Prior experience in a regulatory, audit, legal or risk/control role would be a plus
• Ability to use data visualization tools (eg: Spotfire, Tableau) would be a plus