Compliance Risk Controller - Investment Banking Firm

Role -Compliance risk controller

- Ensure good knowledge of existing policies and procedures on which the control assessed is attached to

- Assess the design and the execution of each existing formalized controls on schedule and in accordance with CTL standards and methodology

- Identify gaps between existing controls and expected controls (to fully cover the risk at stake) and design cartography to highlight issues

- Identify weaknesses, timely escalate any issues and define the corrective action plan

- Deliver a report to synthesize the results of the assessment for a dedicated compliance risk thematic (all reports will be reviewed and validated by the regional head of Compliance Control Monitoring)

Other responsibilities :

- Maintain a detailed and updated working knowledge of the FCA, SFC, HKMA, MAS rules and regulations

- Compliance incidents and any key regulatory development at a group and regional level

- Perform permanent supervision controls, when required, regarding tasks of Control Monitoring team.

Rekha