Assistant Vice President - HQ Risk Control Specialist, Risk Control Unit MY
Lima, Lima, PE
hace 4 días
source : WHATJOBS

Description for Internal Candidates

  • Responsible for ensuring the Division / Department maintains an adequate and effective first line of defense risk management program;
  • Promote and support Business and Support Management to ensure adherence with applicable banking laws, rules, regulations and internal policies, procedures and processes.

  • Action plans should be developed to address the risk and control issues;
  • Enable the effective execution of the operational risk and compliance throughout the Bank / Group, with respect to identifying, quantifying, reviewing, evaluating and measuring risk to ensure that all compliance and risk categories are identified and managed in accordance with regulatory, internal policies and procedures requirements.

    Responsible for management of operational risk and regulatory risk for the Division / Department across the legal entities or across the geography as stated in the appointment letter.

    For external regulatory examination : the Risk and Control Unit Head is responsible to act as a liaison and address all concerns and requirements of regulators with respect to risks within their functional area of responsibility.

    Proactively manage the risk in the Division / Department to reduce the likelihood or impact of negative impact events

    Responsible to report risks to the Head of Division / Department in a timely manner so that Heads of Division / Department have a clear view of the overall control effectiveness of their unit.

    Execute the operational risk framework of the bank in a robust and disciplined manner so as to achieve sound risk management practices and reporting.

    Proactively partner and engage with the second line of defense to achieve an optimal outcome of risk management for the CIMB Group .

    Proactively validate division / dept policies, procedures, SOPs for completeness and accuracy & sign-off on all SOPs

    Build and execute the compliance risk framework within the Division / Department in a robust and discipline manner so as to achieve sound compliance risk management practices and reporting.

    Support and lead the Division / Department in relation to proactive identification and management of compliance risk.

    Proactively identify areas with ineffective controls and work with the relevant stakeholders to enhance overall control environment to mitigate compliance risks.

    Establish a reverence for strong risk management by applying knowledge and understanding of business products, services and processes

    Facilitate strong partnerships across various stakeholder groups, determine best methods of communication and establish escalation model

    To ensure an alignment of tasks between the 3 lines of defense to minimize overlap or gaps arising during execution of role and responsibilities

    Compile and analyse risk data for themes and trends; raise awareness of emerging risks in the industry and recommend mitigation measures

    Ensures that every business and support unit within the Division / Department has an RCU team and QA testers and the appointment is properly executed via GHR

    Track and maintain an updated list of the RCU team and QA testers (onboarding and offboarding ) within the Division / Department

    Facilitate all relevant training within the Division / Department and cascade relevant risk information or program updates to the RCU team and QA testers and respective business heads

    Provide guidance as needed to support RCU team and QA testers in their role

    Monitor performance against the relevant RCU team and QA testers KPIs ; including soliciting and incorporating performance feedback from Head of Group ORM and Head of Group Compliance

    Develop direct and indirect subordinates to ensuring each has a well thought through and executable action plan to help them achieve their development goals and needs

    Provide timely feedback to staff and complete appraisal processes in line with CIMB process

    Comply with HR performance processes and meet internal KPIs

    Attract, develop and retain talent

    Requirement :

    Educational qualification : Bachelor Degree holder or equivalent

    Professional qualifications : Professional or post graduate qualifications e.g. Chartered Accountant, CFA, MBA, LLB

    Relevant work experience : Minimum 10 years work experience with relevant experience of a risk / audit / compliance / legal related role within the relevant business / function preferred

    Excellent communication skills both, verbal and written.

    An understanding of risk drivers and ability to articulate risk to non-risk personnel.

    In depth knowledge of risk related to (business / function)

    Able to work autonomously

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