Compliance Strategy

2 weeks ago

Thành phố Hồ Chí Minh, Vietnam Ngân Hàng TNHH Một Thành Viên United Overseas Bank Full time

**Mô tả công việc**:
(Mức lương: Thỏa thuận)

Update, develop and implement the policy, procedure, provide guidance to ensure of meeting the requirements set forth under head office and local regulations in areas: FATCA, Internal Control system, Staff trading, MAS643 and Related Party Transactions, Compliance Manual, Corporate Governance Compliance, Bank level Compliance Risk Profiling, State Secret, etc....
Keep abreast of bank wide and staffs on above mentioned policy & procedure, as well as provide advices to BU/SU.
Performed or coordinated with GC on relevant compliance trainings to all bank staffs.
Lead annual Compliance Plan activity: Allocate to SME Compliance team; review and obtain the relevant required approval from local as well as group high levels.
Liaise and clarify with Group Compliance for procedure, requirement to ensure the implementation in Country align with Group requirement.
Maintain the relationship with regulators and seek for their consultancy/approval for the bank business and operation.
In charge of risk management activities for Compliance team:

- Playing as Compliance BRCM.
- Set up the KRCSA, AML CSA, KORI, allocate the tasks to relevant teams and team members. Oversight the whole processes of exercises or monthly reporting activities to ensure the completion entirely, sufficiently with evidence. Perform 2nd step checking of those exercises and reporting. Review and approve on behalf of Head of Compliance as assigned.
- Monitor/track the findings and action plan on Compliance team from the Compliance Review, Internal and External Audit, Regulatory Inspection. Ensure all teams close the action plan timely and escalate to Head of Compliance if any issue/matter/risk arisen.

In charge of multi reporting/exercises (including frequent and ad-hoc) to Group/local management, committees, forums and other ad-hoc requests from Group compliance, SBV/MAS.
Support Head of Compliance in team management activities such as User matrix, Org Chart, Budget planning, cost mapping, compliance newsletter, incident handling/reporting/approval, etc...
Support Head of Compliance in attending and presenting Compliance activities during monthly/quarterly reporting to relevant committees such as Risk Committee, Management Committee, Members Council Meeting, Board of Controllers Meeting, etc...
Support the Compliance Head to attend the Business Continuity Management committee, review and approve relevant tasks.
On behalf of the bank to join the Banking Working group (Vietnam Banking Forum), etc...
Review, input and endorse for workflows/processes/procedures from relevant businesses.
Project Lead for the Compliance projects, demonstrate oversight and governance as follow:

- Constellation project:

- Work on the pre-LD1 activities such as process/procedure/contract mapping for gaps analysis and remediation/approval for business risk appetite, provide input to relevant workstreams, Compliance Deliverables, data classification contributing to the acquisition deal; relevant compliance trainings coordination or conduct for transferring staffs to ensure well-equipped when joining the bank, etc...
- Work on the post LD1 - coming OD1 preparation such as data migration, system building/enhancement for receiving acquired customers sufficiently, smoothly. In addition, to support the SME team from both L1 and L2 on methods, approaches to estimate the workload as well as the planned head count to well preparation for greeting the acquired customer portfolio with minimum impact to banking operation for both internal stakeholders as well as customer experiences, etc...
- Work on the post OD1 clearance after receiving customer portfolio until project is completed.
- Global UOB Group AML Uplift project:

- Overall PMO to drive uplift in Compliance and the bank at high level, to act as the overall gatekeeper for the uplift project.
- Support complex transformation programmes spanning the entire lifecycle - from strategy formulation through to execution.
- Work with the Group AFC PMO Lead to drive the programme management office activities to manage and coordinate the various strategic & transformation projects undertaken by Group Compliance.
- Preparation of programme plans, scope of work, stakeholder management and communication plans.
- Liaise with stakeholders across the Bank to manage interdependencies between projects and regions.
- Partner with key stakeholders to ensure that projects are progressing in accordance with agreed milestones.
- Draw linkages between projects and demonstrate design thinking in proposing efficiency and effectiveness recommendations across projects.
- Highlight gaps and provide objective recommendations to troubleshoot project misalignments, remove redundancies and overlaps.
- Synthesize aggregated data, progress, issues and findings on multiple projects into bite-sized/thematic content.
- Track status of uplift and report to Group uplift PMO on a timeline basic.
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