Specialist - Business Compliance

Regulatory and Product Risk Identification and Policy Setting
• Identification of material regulatory risks in the business, including those related to products and customer segments, through measured analysis of factual scenarios and / or documentation.
• Anticipates and assesses key regulatory risks in the business for management consideration and drives the development and implementation of appropriate mitigation control measures.
• Identifies regulatory risks associated with existing products and those under development.
Regulatory Relationship Management
• Supports delivery of the Regulatory Relationship Plan from a business perspective.
• Responsible for ensuring the business is properly prepared for regulatory inspections.
Regulatory Advice
• Provides timely local regulatory advice and recommendations to the business and proactively monitors business specific regulatory developments.
• Provides guidance on proper application and interpretation of laws, regulations and policies applicable to the business.
• Develops and enforces product standards and controls.
• Works on Product Programmes and Addenda for local and cross-border regulatory risks.
• Works collaboratively with the business to ensure that appropriate control standards and assurance procedures are developed and followed.
Regulatory Training
• Delivers or procures delivery of a programme of activities that educates and encourages business managers and staff to operate in compliance with relevant laws, regulations and policies. Such training would include key group and business-specific compliance and regulatory issues, for example Outsourcing, Senior Management Responsibilities and Code of Conduct.
• Assists in the development of an effective internal business compliance culture by promoting the benefits of ethical business conduct and the benefits of compliance.
Compliance Monitoring
• Supports the development of Compliance Monitoring Plans by coordinating the business specific compliance reviews, routine checks, transaction monitoring and approvals.
• Responsible for the completion of the Business Compliance Risk Review.
Compliance Reporting
• Prepares regular and accurate reports that demonstrate understanding, provide clear analysis and are escalated to the relevant business and risk managers and governance bodies.
• Handles ad hoc business specific enquiries and surveys as requested by the regulators from time to time.
Compliance Business Partnering
• Uses technical knowledge of all business products undertaken in the jurisdiction: to provide sound, technical product, regulatory and transactional advice to the business on a timely basis; to structure an appropriate compliance and regulatory control framework to govern the business; and to anticipate the impact of regulatory and compliance developments on the business and communicate such impact to the business.
• Assists Head of CIC and CC Compliance in ensuring that the business operates in accordance with (a) their legal and regulatory requirements and (b) Group standards of conduct, so as to protect and enhance the reputation of the Bank.
• Proactively drives the development and maintenance of good relationships with internal and external business stakeholders at appropriate levels ensuring an open and cooperative environment.

CORE COMPETENCIES

Legal background:
Legal background and superior banking experience are preferable

Product Knowledge
- Detailed knowledge of specialist business areas, their products and the specific regulatory/legal requirements that apply to these business areas and products.
An understanding of product risks and their regulatory implications.

Business Compliance
- The ability to: assess the impact of local regulations on the business; understand how to apply such local regulations to the business to meet regulatory expectations; provide sound technical product, regulatory and transactional advice on a timely basis; and structure an appropriate compliance and regulatory control framework to govern the business.

Governance and Legal Structure
- Knowledge of the system of internal controls that enables effective management of the affairs of the Group locally.
Detailed knowledge of local risk reporting and governance/ management structures, and the regulatory and legal obligations of country management.

Interpretation & Regulatory/ Policy Advisory Guidance
– The ability to identify and assess relevant laws and regulations to provide solutions to business needs.
Detailed knowledge of local laws and regulations including: an ability to anticipate future regulatory requirements based on thorough research; a thorough knowledge of Group policies and how they apply to the local market environment; an ability to offer considered, practical and cost effective business solutions to ensure regulatory compliance.

Products and Services Delivery
- Knowledge of local regulations, Group and business policies and procedures as they apply to local business products.
Knowledge of local and regional/global (where appropriate) regulatory developments and understanding of how these affect local and cross-border business delivery of products and services.
High-level of understanding of the products and services of the Bank.

Business Solutions
– The ability to develop relationships with business partners by proactively identifying compliance and regulatory risks in product ranges, including new product launches and works with business partners to offer cost effective and considered solutions to potential product risks.

Business Management
• Ability to make balanced commercial judgements and provide pragmatic solutions
• Ability to drive efficiencies and innovation in achieving objectives
• Excellent relationship and customer management skills.
• A proven ability to operate in a fast - paced, constantly changing environment
• An up-beat, “can-do” attitude and willingness to meet challenges head-on
• Exemplary consultative skills
• Superior analytical, organizational and strategic capabilities

- Insurance
- International Environment

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