M: 045. Chief Compliance Officer

hace 2 semanas

Lima Metropolitana, Perú Unspecified A tiempo completo
Chief Compliance Officer
Location: FrankLimaPermanente

Employment Type: Full-time

Posted: 3 days ago

  1. Identification, assessment, and monitoring of compliance risk

Maintain the Bank's compliance governance framework and review framework updates prepared by the team.

Oversee compliance audit activity and support the team to lead difficult conversations with departments in the Branch on recommendations, if necessary.

Identify and assess associated compliance risk.

Systematically monitor compliance risk using a range of indicators (e.g. customer complaints, irregular trading/payment activity, and regulatory assessment).

Evaluate the adequacy of internal controls by performing appropriate tests and promptly follow up on any identified deficiencies and plans to address such deficiencies.

Reporting of compliance risk

Report regularly to the Board on compliance issues and promptly on any material incidents of non-compliance (i.e. failures that may attract a significant risk of legal or regulatory sanction).

Report findings and analyses regularly to senior management that includes:

  • Results of the compliance risk assessment highlighting key changes in the compliance risk profile and areas of needed focus.
  • Summary of incidents of non-compliance and deficiencies.
  • Assessment of the impact.
  • Recommendations of corrective measures.
  • Record of corrective measures already taken and an assessment of the adequacy and effectiveness of such measures.
  • Insights and observations regarding the compliance culture.
Advisory to Board, Senior Management, and Officers

Maintain a good working knowledge of industry trends, products, relevant laws, and regulations.

Review new legal and regulatory notices and recommendations prepared by the team and provide input into recommendations.

Act as a trusted advisor to the management/leadership team on Compliance related topics.

Update on new legal and regulatory notices.

Assessment of implications to compliance risk profile and capacity.

Review new Branch policies to ensure alignment with all relevant regulations.

Provide recommendations or solutions to meet the said requirements.

Guidance and Training

Ensure adequate training to officers on relevant legal and regulatory requirements. The training must explain the implication to the Bank.

Provide guidance on the implementation of internal controls to manage compliance risk.

Support, coach, and guide complex Compliance issues.

Oversee the team in providing sound compliance advice on matters including but not limited to legal and regulatory notices, Know Your Customer, Anti-Money Laundering, Anti-Bribery, Conflict of Interest, and Non-Public Information Material.

Provide Subject Matter Expertise in relation to process improvement and risk mitigation including being involved in the organizational development process to facilitate timely identification of compliance risk.

Others

Responsible for assessing and updating department frameworks and to deliver continuous improvement and ensure compliance with relevant regulations.

Oversee leading large departmental initiatives to drive process improvement/efficiency.

Participate in relevant committees within the Branch.

Adhere to all company policies and guidelines.

Attend committee meetings to receive Shariah compliance updates.

Industries: Commercial, Investment, Islamic, and Offshore Banks; Insurance (Actuary, Finance, Policy, Underwriting, and Claims positions)

Source: Kit Empleo

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