Chief Operating Office - KYC Regulatory Response Group Regional Head, APAC - Assistant Vice President
Position Overview Overview:
The Global KYC, Tax & Data Regulatory Response Group (RRG) comprises of four people globally reporting into the London based Head of Embedded Reg & Risk.
The team will work closely with the first line processing teams and in collaboration with Regulatory Management Group, AFC, DCRO, the Business & Other 2nd line functions to understand the regulatory engagement landscape, touch points, change horizon and inventory of commitments.
Governance, escalation, progress transparency and clear accountability are core values for RRG. Key Responsibilities: (APAC region).
Skills & Qualifications:
- Co-ordinate& govern timely responses to all regulatory requests
- Manage a central log of all requests, responses, sign offs, regulatory meetings, ensure SLA's are in place and can be measured
- Manage a golden inventory of commitments, accountable owners, updates, and responses
- Understand current regulatory engagement landscape and provide transparency of the regulatory meetings horizon, inventory and actions
- Provide transparency of Regulatory change horizon and scorecards to measure programme status's
- Devise an operating model including RACI matrix for clear accountability
- Establish and maintain a robust & clear senior sign-off protocol for all regulatory responses / presentations
- Work in collaboration with multiple first and second line functions (inc. Regulatory Management Group (RMG), Anti financial Crime (AFC), Divisional Control Regulatory Office (DCRO) and the Business
- Maintain a robust governance & escalation model which will include the monitoring of KRI's and results of independent validation checks
- Perform independent closure validation of Findings/Obligations.
The successful individual will have diverse experience of the financial sector in any of the following areas; Operations, risk/controls, Regulatory teams/processes, compliance or audit and have experience managing deliverables & maintaining effective relationships with global senior management.
- Relevant experience in a global banking environment
- Exposure to Client Onboarding, KYC or similar regulatory projects is preferred
- Strong communication and interpersonal skills
- Strong analytical and problem solving skills
- Ability to work under pressure to tight deadlines
- Strong organisational and administrative skills
- Client focused approach and ability to react quickly to changing demands
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