Business Manager - Compliance CoE
Standard / Permanent
Compliance Center of Excellence (CoE) is focused to protect the reputation of the Group and effectively manage risk across all business areas by providing support to various Compliance functions. The team is committed to integrity and excellence. It comprises of individuals from diverse backgrounds with strong analytical, detail-oriented and excellent project management skills. People with keen interest in financial markets, products, securities laws and financial regulations are deeply valued within CoE. At present the department is broadly organized into divisions which embed into the areas they support to provide services for Global Compliance Training, Capital Markets Surveillance, Electronic Communication Surveillance, Compliance Migrations Co-Ordination, Personal Account Dealing, MIS and Projects support. The team works closely with business partners in CIB and the wider group.
CoE is set to grow to almost 3 times its present size by 2020 and a key strategy is to hire a business manager within the team to work closely and assist the CoE head in KPI/KRI, dashboard, budgets reporting. To help oversee and maintain robust reporting and governance controls.
- Data Quality Control:
- Managing time tracking, reporting and monitoring productivity and utilization
- Help in creating regular dashboards for counterparts and senior management reporting
- Create, maintain and report on KPI’s and KRI’s for each function supported out of CoE; analyze trends and call out specific patterns/points of attention
- Maintain and report on quality assurance conducted within the department with root cause analysis and action points with the help of the domain manager in conjunction with CoE head
- Ensure that the calendar of meetings is respected. Meetings are set up and facilitated
- Ensure relevant documents for the processes and department are created, maintained and updated on regular basis e.g. Business Continuity Plans, Standard Operating Procedures (SOPs), Service Level Agreements etc.
- Specifically, ensure that SOPs exist for all processes, are duly validated and followed; BCP documentation is in place and regular testing is carried out (and gaps are identified and addressed)
- Regular Service Level/Steering Committee review meetings are set and minuted
- A robust follow up of all action items, with full transparency provided in subsequent steering committees/SLA review meetings
- Liaise with OPC on all control gaps, close gaps in a timely manner; robust follow up of all incident action plans and Audit findings and recommendations; provide transparency in this regard
- Budgeting and Forecasting:
- Administering budgeting and, financials data collection and consolidation, assisting with budget/forecast reviews and representing the financial data in various meetings/forums to Compliance Senior Management when required
- Ensure to follow up and liaise between Finance teams and onshore counterparts/contractors for pending invoices and any queries around the invoices
- Be the SPOC for Performance Management in the Finance team
- Other Administrative responsibilities:
- Be the SPOC for Admin, IT Security and Physical Security along with restricted area premises and logistics attached to Compliance CoE seating plans
- Ad hoc administrative responsibilities as and when they arise
- Preferred experience in the world of projects, preferably in the financial services industry
- Excellent communication skills, both written and oral and a demonstrated ability to interact with all people within an organization
- Strong comfort with data and analysis; rigorous follow up and a keen eye for detail
- Proficiency in Microsoft Office suite of tools in particular Excel and Powerpoint. Experience of Microsoft Access is also desirable.
- Knowledge of the role of Finance and financial reporting is also an advantage
- Sense of precision and attention to detail in maintaining documentation and audit trails
- Strong Focus on Meeting Deadlines
- Experience of working in international banking business structure