Senior Compliance Analyst within Second Level Controls is a transversal role covering control testing for the company’s entities across geographical locations. The role requires in-depth knowledge of control framework and understanding the compliance controls.
What you will do:
•Identify key business changes through stakeholder connects and assess key risks for the perimeter concerned as directed by the CPLE CTL Manager;
•Participate in assessment of existing controls as per the defined control plan and the direction of the CPLE CTL management: assess the design and the execution of each existing formalized controls on schedule and in accordance with CTL standards and methodology;
•Maintain a detailed and updated working knowledge of various laws and regulations, e.g., FCA, SFC, HKMA, MAS rules and regulations;
•Ensure identified gaps are debriefed to relevant stake holders, corrective action plans agreed and restitution reports are published;
•Regular of knowledge on internal incidents, external enforcement and regulatory developments.
•Good to have: exposure to Audit, Quality check or Controls;
•Fair knowledge of Compliance risks in the global banking environment. This may include the risks related to: AML Embargos & Sanctions (OFAC), KYC and client
due diligence activities, Laws and regulations related to Anti-Bribery and Corruption;
•MiFID, FCA CASS and other applicable client protection laws and regulations;
•Fluent Command English language with excellent report writing and presentation skills;
•French language –at least A2/B1 level
•University Graduate in Law, Bank & Finance, Economics;
•MBA in Finance;