Senior Executive, Group Compliance Office (Monitoring - IT Operations)

Job Purpose

To assist Group Compliance Office and Group Risk Management digitalize compliance and risk management practices as guided by the Group’s Compliance Management Framework and Risk Management Framework.

Job Responsibilities

Digitalisation of Risk & Compliance Practices (Group wide)                    

• Assist the Group’s risk and compliance digitalization effort by:
  • Researching, recommending, developing and/or enhancing the Group’s current or new IT system/platform for compliance and risk management purposes.
  • Coordinate Risk and Compliance digitalization efforts with Group IT and relevant internal departments.
  • Assist Assistant Manager/Head of Compliance drive the digitalization effort for both Risk and Compliance.
  • Develop the necessary workflow and SOP to support the implementation of risk and compliance IT system.
  • Providing advice on types and availability of IT system that can be implemented by both risk and compliance team.
  • Assist Assistant Manager/Head of Compliance, GCO, CRICO or Management to develop tools and system which support the compliance and risk environment, including to coordinate and manage the implementation of tool and systems.
  • Assisting in the preparing the necessary budgets required for IT implementation.

Job Responsibilities (Con't)

• • Be the key liaison person dealing with external consultant and vendor (for IT hardware, software and system related).
  • Prepare and providing ongoing education and appropriate briefing and training of the implemented compliance and risk system to employees, where required.
• In the development of relevant IT program, it related platform or reporting requirements:
  • Work with both Risk and Compliance team and obtain a full understanding of the risk and compliance requirements in the building of the IT program/platform and or reporting requirements.
  • Consult with other internal stakeholders to collect requirements and fully understand the Group’s system vis a vis the risk and compliance requirements.
  • Work closely with data engineer and system administrator to understand the underlying system architecture and data sources required for the risk and compliance IT development.
  • Work with data engineer and operationalize Power BI reports and dashboards.

Job Responsibilities (Con't)

• • Where require, build depth analyses of data to identify the business trends.
  • Interpret, extract data from various systems and transform data into agreed reporting template/dashboard.
  • Communicate analytics insights to internal stakeholders (risk, compliance or otherwise).
  • Assist in troubleshooting of issues identified in the development.

Compliance Monitoring (Maintenance, Review and Reporting) – Group Wide

• Work with Group IT to maintain/troubleshoot Risk or Compliance IT System that have been implemented
• Ensure that reports as generated by the compliance and/or risk IT platform are in operations as intended.
• Liaise with Group IT and/or vendor for Risk and Compliance IT requirements.
• Support GCO and GRM in compliance/risk updates/review/validation/special review, as required.

Job Responsibilities (Con't)

Impact / Accountability

1. Delivery of the digitalization effort of the Group (compliance and risk perspective only)
2. Delivery of the Group Compliance Office Annual Plan.
3. Achievement of GCO’s set targets and deliverables.
4. Works meets or exceed compliance standards & methodologies and expectation.
5. Assistance provided to GCO to achieve overall Risk and Compliance targets and deliverables.
6. Committed to continuous improvement methodology and maintaining good client relationship.
7. Maintain high ethical conduct, independence, and confidentiality in performance of duties as compliance officer.

Education/Professional Qualification

Candidate must possess at least a Professional Certificate, Diploma, Advanced/Higher/Graduate Diploma, Bachelor's Degree, Post Graduate Diploma, Professional Degree, Mathematics, Statistics, computer science, or relevant education;

Professional Experience

• At least 1.5-2 years of experience in Power BI design and implementation.
• Understanding of Multidimensional schema and application in Power BI design and development
• Analytical, strong business acumen and able to thrive in an unstructured environment.

Added advantage:

Extract, Transform and Load (“ETL) experience in:

• IFCA.net, SAP BPC (Planning) and Salesforce.com
• Microsoft SQL Server, MYSQL
• Microsoft Project Server
• Web Service

Competencies

Risk Management

Governance, Risk and Integrity:

Understand, at minimal:

• The Group and BU/OU/Support Department governance structure and process;
• BU/OU/Support Department operating parameters;
• Laws, rules and regulations impacting BU/OU/Support Department area of operations;
• The Group’s principles and requirements of the Group's Code of Business Conduct ("COBC"), Group Policies and Authorities (“GPA”) and related policies and procedures.
• The basic application of risk management in the BU/OU/Support Department area of operations;

        [the above is collectively known as “requirements”]

Drive, lead and/or assist in:

• Maintaining compliance to the requirements.
• Guiding others, where required.
• Raise concerns and seek guidance when in doubt.