Compliance Issue Management – Director

Full Time

International Banking Client

Office Status: Hybrid

Responsibilities:

  • Work with the Head of CIM to ensure internal procedures for the governance of issues management, ensuring that all relevant compliance issues are tracked in appropriate systems of record.
  • Work with the Head of CIM to oversee the use/application of the AD Issues Tracker (ADIT) system within CPAD and other compliance teams, ensure its consistent application and facilitate ongoing communication, escalation, and resolution process through standardized communication routines and tools.
  • Serve as a Audit Liaison for Compliance cover a number of topics including but not limited to: conducting monthly Compliance/IAD touch points; participating in all Compliance related Audit Reviews to ensure Compliance is meeting IAD expectations and timelines and provide consistent messaging to management
  • Actively manage the ongoing tracking and completion of compliance-related issues and resolution
  • Partner with CPAD issue owners/managers through the ACR closure request process, facilitating communication with IAD validators and following up on open items for timely completion and when not possible assess alternative options available (e.g. Extension request).
  • Assist in the design, development and implementation of internal reporting to support issues management in accordance with policy to ensure that all relevant information is captured accurately and is understandable to broader audiences.
  • Support the review, validation and registration of management self-identified issues (MSII) within the ADIT, assessing and recommending issue severity to drive expectations on resolution activities and timeliness
  • Provide end-user support and training to CPAD and other compliance users, supporting additional oversight and 2LoD challenging routines required by policy
  • Conduct monthly/bi-monthly touchpoints with CPAD issue owners/managers to proactively manage open issues to ensure timely completion and work to manage dependencies and issues, and escalate to the AD CCO as needed.
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