Compliance Assurance Officer - Makati - RCBC

    RCBC
    RCBC Makati

    1 araw ang nakalipas

    Banking / Loans
    Paglalarawan

    Job Summary:

    The Compliance Assurance Officer is responsible for assessing the compliance risks and adequacy of controls implemented by the first line of defense, performing assurance activities through testing and on-going monitoring to assess the design and operating effectiveness of key controls in addressing compliance risks, reporting and escalating control issues and any violations of laws or breaches of internal policy, validating the adequacy of remediation taken to address and mitigate the reported issues, and providing reasonable assurance that the compliance system is effectively implemented by the Bank.

    How will you contribute:

    1. Performs compliance assurance on two different fronts:


    • Continuous Monitoring Plan, which provides for independent testing of the 1st and 2nd line monitoring in order to assure the quality of the controls in place. This includes the conduct of independent assessment on the result of assurance testing performed by the Deputy Compliance Officers (DCO); and


    • Specialized Assurance Reviews which is a thematic review of business processes, products, services or channels on a risk based approach. Ensures that the procedures performed are properly documented and the related working papers are turned-over for review and future reference.

    2. Initiates discussion of compliance issues or observations as well as recommendations with the concerned officers to ensure the immediate correction of compliance breaches and improvement of existing processes.

    3. Escalates and reports to CAD Head and/or Chief Compliance Officer sensitive and/or major issues that require immediate action and/or referral to Senior Management, Audit and Compliance Committee, AML Board Committee and/or the Board of Directors.

    4. Prepares and/or recommends the implementation of additional policies/procedures to augment or strengthen regulatory controls on reviewed activities/processes.

    5. Monitors the timely resolution of compliance issues including identification of root causes by the concerned bank units and subsidiaries.

    6. Actively participates in the preparation and enhancement of the Division's checklists and manuals in connection with the assurance framework. Propose automation, as necessary to facilitate completion of work tasks.

    7. Identifies and monitors unresolved Anti-Money Laundering issues and/or findings outstanding for more than 90 days for the preparation of Notice to Explain by Consumer Banking Compliance and Financial Crime Risk Stewardship Division to concerned Business Centers/ Business Units in compliance with the AML Sanction policy.

    8. Provides and facilitates prompt submission of information, documents or reports by the requested regulators during their on-site and off-site examinations.

    9. Assists the Division Head in the preparation of reports like the monthly monitoring of exceptions, monthly activity reports, materials for Committee meetings, and others as needed.

    What will make you successful:

    • Graduate of Accounting, preferably a Certified Public Accountant or Certified Internal Auditor
    • Sufficient knowledge of bank's operations and policies, basic accounting/audit, and BSP/SEC regulations/reports.
    • With at least five (5) years of experience in banking or financial services
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Makati City