Officer, Compliance and Assurance (40000189)

Job Purpose

- The job holder is responsible for coordinating and cooperating with other functional units in GTS division to ensure compliance with internal regulations of TCB as well as of external management agencies, anti money laundering (AML), FATCA and other legislation, advising on ethical and governance issues to keep GTS up to date with regulatory agency requirements
- Acting as a focal point to assess and control operational risks at GTS and ensuring GTS compliance with all operational risk limits.

Key Accountabilities (1)

STRATEGY và IMPLEMENTATION
- Explain and guide policy implementation to support GTS functional units in the field of compliance, in line with relevant regulations and TCB's strategy
- Comment on standards that other GTS functions must follow for the purpose of complying with anti-money laundering (AML), FATCA and other regulatory and government regulations
- Contribute ideas on business strategies, plans, policies related to operational risks and compliance
TO assist GTS in achieving the division goals in a fair and compliant manner

Key Accountabilities (2)

MANAGEMENT AND COMPLIANCE
- Responsible for providing timely, professional advice and guidance (e.g. attending meetings, etc.) to other GTS functional units to ensure compliance with TCB's policies and procedures and relevant regulatory/regulatory frameworks
- Review operational losses, monitor corrective actions and take preventive measures.
- Monitor existing checkpoints and write reports/internal assessments of GTS, ensure business and regulatory agencies
- Assist in the coordination, preparation and submission of compliance-related reports and assessments as required by business, compliance management, and regulators
- Review, coordinate and provide compliance support for GTS-related complaints
- Coordinate and provide compliance support to the business regarding initiatives and projects
- Review and update compliance policies and procedures
- Coordinate the implementation of compliance training, operational risk within GTS Division

Key Accountabilities (3)

EFFECTIVE COOPERATION
- Coordinate and work closely with all GTS functional units to comply with standards/regulations such as AML/FATCA, legal regulations and operational risk standards.
- Assist in disseminating warnings, circulars and other announcements by regulators including impact awareness

Key Relationships - Direct Manager

Director, Compliance and Assurance

Key Relationships - Direct Reports

Key Relationships - Internal Stakeholders

Key Relationships - External Stakeholders

Success Profile - Qualification and Experiences