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Compliance QA Officer

Job Category:

Others

Job Level:

Professional

Open Date:

07-Sep-2021

Location:

TAGUIG CITY

Close date:

07-Oct-2021

Client Industry:

BANKING

Job Description and Qualification:

As Compliance Quality Assurance Officer,  your purpose is to  execute local quality assurance activities that include Second Line Monitoring (SLM) Independent Testing activities (incl. Key Control Testing), QA Thematic Reviews, QA Continuous Monitoring and Process Reviews, as well as contributing to Business Line or Group QA-driven initiatives. You will monitor and assess the quality of the implementation of policies and processes aimed at mitigating Compliance risks, perform independent testing on 1st and 2nd line monitoring activities, in line with Compliance Monitoring and QA guidelines established by the Group Compliance QA team.

Responsibilities
  • You perform quality assurance processes on two different fronts: i) independent testing of the 1st and 2nd line monitoring so to assure the quality of the controls in place, and ii) independent review of the compliance processes on a risk based approach through thematic, process and continuous QA;
  • You execute tests/reviews and elaborate results from different Key Control Testing (KCT) and QA initiatives and provide consolidated reporting to Local Compliance Business Line Compliance and Group Compliance, as required and in line with Compliance Monitoring and QA methodology, processes and formats;
  • You are required to support, contribute and participate in the priority assessment and  in building a local Monitoring Plan which includes KCT SLM Testing and QA activities, the execution of the plan and the articulation of areas of improvement and best practices (QA activities include: Thematic Review, Continuous Monitoring, and Process Reviews);
  • You are required to support, contribute and participate in the planning and conducting the Compliance Charter & E2E Framework review at local level (e.g., branch implementation of Compliance framework pillars), report observations,  best practices to branch management (e.g., CEO, HoC) and local Compliance MT; (applicable only if the country has an oversight role for a subsidiary / branch)
  • You provide QA related input for the NFRC, NFRD and other committees and reportings
  • You support Business Line and/or Global Compliance Quality Assurance in the performance of QA activities where requested and in line with the QA planning.
Qualifications
  • Bachelor's degree graduate
  • You are an experienced manager/officer with 5+ years in a risk or control area (e.g., compliance, audit, risk function);
  • You have relevant knowledge of the risks and processes within Financial Crime Compliance, Organisational and Conduct Compliance, and Employees Compliance and Ethics;
  • You have an investigative mindset, with an understanding of audit methodologies;
  • You have (data) analytical skills and sound judgement;
  • You are a natural authority leader. You have a strong track record of leadership;
  • You have an excellent level of English (verbal/written)
  • Dayshift/Currently work from home

Salary:

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