首席合规官 - 远程 - 最高250K
Chief Compliance Officer - Remote - Up to 250K
合规首席官负责确保有强大的政策环境，以确保遵守 BSP 法规。该职责还将对客户进行审查，以确保他们也符合银行的合规 （和其他风险）要求。这将包括监督：合规和政策制定，在运营政策 ·AML 政策 ·IT 和信息风险政策等领域内定义政策。确保合作伙伴 （既创始/现金管理合作伙伴，也是系统提供商）符合监管机构的要求 o 提供对合作伙伴风险评估的投入 管理合作伙伴风險审查 确保合作者的风险评审文件是完整的，得到了正确水平的批准 内审核合作伙伴政策的审查优先考虑基于风险评估 的内部审计流程 审查外部合作伙伴的过程 监督例外和报告并向面临合作伙伴团队提供反。报告秘书处给风险委员会，审计和合规委员会 确保足够的 AML 覆盖 根据规定，该职位将直接报告给独立的风险和审计/合规委员会。然而，这一职位将与运营负责人/首席执行官 (CEO) 在履行任务中密切合作。3.监测量指标：及时实施：o 合作伙伴风险审查政策制定计划 · BSP 评估银行业绩 （BSP 评级）·与合作伙伴面对团队的反 4.所需技能和资格 本职位需要掌握控制功能方面的专业知识，同时了解这些功能对企业运营的影响以确保这些功能以客户友好的方式执行。至少8年经验
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The Chief Compliance Officer is responsible for ensuring there is a strong policy environment to ensure compliance with BSP regulations. This role will also conduct reviews of clients to ensure they are also meeting the compliance (and other risk) requirements of the bank. This will involve oversight of:
Compliance and Policy development, Defining policies, within the areas of
- operational policy
- AML policy
- IT and information risk policy, etc.
o Maintenance of Compliance Monitoring System o Compliance reporting
o Applications to the BSP Compliance reviews of partners
o Ensure partners (both origination / cash management partners and system providers) meet the requirements of regulatory authorities
o Provide inputs into Risk Assessment of partners
Management of risk reviews of partners
Ensure documentation of risk reviews of partners is complete, approved to the right level internal Audit reviews of partner policies
Prioritize internal audit processes based on risk assessments
Review internal processes
Reviews processes of external partners
Monitor exceptions and reports and provide feedback to partner-facing teams. reporting
Secretariat to the Risk Committee, Audit and Compliance Committee Ensure adequate AML coverage
This position shall serve as the following regulated positions: Chief Compliance Officer and AMLO
- Deeply understand the regulatory requirements and understand what specifically will be required to implement these requirements in the case of a partnership based bank.
- Creatively find solutions
- Understand the practical implications of policies and identify solutions which meet regulatory requirements yet also meet the requirements of bank's clients.
As per regulation, this position will report directly to the independent Risk and Audit / Compliance Committees. The position will, however, work closely with the Head of Operations / CEO in the implementation of duties.
3. Metrics to monitor
On time implementation of: o Partner risk reviews Policy development plan
- BSP assessment of the bank's performance (BSP rating)
- Feedback from partner facing teams
4. Required skills and qualifications
This position requires expertise in control functions, while also understanding the implications of these functions on business operations to ensure the functions are implemented in a client friendly manner.
At least 8 years of Sr Management of Compliance ideally from the bank or fintech companies
The specific areas of expertise seen in the candidate will include:
- Compliance expertise / knowledge of BSP regulations
- Experience in communications with the BSP
- Definition of a compliance plan
- Experience in policy development. Clear and concise writing
- Relevant expertise in compliance / legal background allowing the candidate to be approved by the BSP
- Definition of risk management processes, including
o Operational risk reviews
o Market and liquidity risk
o IT risk management, including responsibilities of the information security officer
Leadership of internal audit functions o Definition of audit timetable
o Oversight of audit functions
o Management of internal and external reviews
5. Initial tasks:
- Review current policies, identify gaps in overall framework.
- Complete policy in:
o Information risk management
Review the partner risk reviews to determine:
o Are there partners whose risk reviews need to be updated to reflect any newly identified issues?
o Are there partners whose internal processes need to be reviewed?
- Ensure compliance with AML regime ensure there are AML policies in place for partners
- Continue to implement the compliance regime, compliance reporting.
- Set-up reporting to Board Committees, on:
o Compliance review
o Policy status
o Partner Risk Assessment
Originally posted on Himalayas