APAC Financial Crimes Compliance Testing and Validation Manager

16 Apr 2019
16 Apr 2019
Job role
The International Testing & Validation (T&V) function provides regulatory compliance and operational risk oversight through the execution of standardized testing across those disciplines. This newly consolidated function will be designed to provide independent assurance that risk programs and controls are operating effectively across the following key risk types: Financial Crimes, Regulatory Compliance, and Operational Risk.

The position reports into the APAC International Testing & Validation Financial Crimes Lead.

The APAC Financial Crimes Testing & Validation Manager will lead and where required, to be hands on in executing financial crimes testing engagements, including involvement in the development and execution of a comprehensive testing plan in line with enterprise and regional requirements, management and development of a team of testing consultants and building of relationships with regional and global stakeholders and risk teams.

Specific duties for this position include, but are not limited to:
•Leads a team of subject matter experts with proficiencies in performing financial crimes testing activities to evaluate financial crimes considerations within identified business processes according enterprise and business line financial crimes related policies, including areas such as KYC/customer due diligence, suspicious activity reporting, sanction screening, and fraud
•When required, to be hands on in designing, developing, and executing testing engagements in accordance with the independent the Monitoring Testing and Validation Policy and the Enterprise Testing Operating and Issue Management Procedures
•Strategic design and execution of testing strategies and methodologies; evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from such review activities
•Identifies deficiencies and recommends solutions to complex issues
•Consults with management and other regional stakeholders to develop corrective action plans and monitors corrective action to completion
•Plans & oversees issues and corrective actions validation activities that independently evaluate the adequacy, comprehensiveness and effectiveness of corrective actions taken to remediate issues based on defined methodology
•Review and oversee formal documentation of testing activity within the working papers in accordance with the methodology and team expectations
•Reports findings and drafts recommendations to risk and business line management
•Maintains an understanding of the enterprise AML program and the interconnectivity of its key components
•Cultivates and fosters positive relationships with key business partners

Required Qualifications
•8+ years of experience in Audit of financial services industry, of which 5+ years must include direct experience in financial crimes
•2+ years of management experience

Desired Qualifications
•Demonstrated knowledge of APAC financial services financial crimes topics such as KYC/customer due diligence, sanction screening, suspicious activity reporting, and fraud
•Experience in managing audits or testing activities
•Strong written and verbal communications
•Detail and task oriented
•Ability to work in a complex, rapidly changing environment and regulatory pressure.
•Demonstrated ability to work independently, self-starter and highly motivated to work in a fast paced and changing environment
•Proficient with MS Office Suite, including Word, Excel and PowerPoint and Web based applications
•CAMS or equivalent certification
•BS/BA or equivalent

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