In cooperation with the Compliance CAMS RCP, assist in driving Risk Culture and awareness within the First Line of Defence in accordance with regulatory expectations
Ensures that the Compliance CAMS business lines identify and manage the risks inherent in their activities, processes, and systems in a proactive manner. Ensures that these risk and controls self-assessments (RCSAs) are completed timely in accordance with the bank's procedures and documented in the bank's systems.
Supports Compliance CAMS management in responding to audit findings, operational risk incidents, regulatory or governing body findings. This includes ensuring action plans are executed, and monitoring the effectiveness of these plans.
Ensures that Control Self Assessments are completed timely in accordance with the bank's procedures.
Ensures that the end-user computing tools inventory is complete and accurate and coordinating attestations.
Builds strong inter-departmental relationships including with the 2LOD and 3LOD and risk and control managers/partners from other departments.
Comply with the code of conduct and bank policies/procedures to include the completion of all mandatory training within a timely basis, as instructed
Actively identify incidents outside of established policies and procedures and report to management immediately
Familiar with and comply with laws, regulations, and internal policies and procedures that are applicable to required job duties
Job Skills and Knowledge:
5+ years of experience in a risk/control function such as risk/control management, Internal Audit, or Second Line of Defence.
Experience with a Risk Control/Management Framework (RCF/RMF) and an Enterprise Governance Risk and Compliance (EGRC) platform, ideally RSA Archer.
5+ years of experience in Anti-Money Laundering and Sanctions Compliance with exposure to transaction monitoring & model validation.
Understanding of the regulatory environment and issues which may affect the control monitoring and testing program.
Ability to exercise sound judgement and recommend appropriate action plans.
Ability to work independently with minimal supervision.
Desirable - Experience conducting First Line control testing/self-assessments, including understanding the appropriate sampling and testing methodology.
Desirable - CAMS or CFE Certification
Comply with the code of conduct & Bank policies/procedures.
Be familiar with & comply with laws, regulations, and internal policies & procedures that are applicable to required job duties.
If this is of interest please attach an up to date CV and I will get in touch ASAP.
Internal Number: 5642416
About Hamlyn Williams
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