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Head of Regulatory and Assurance
3 months ago
Mission statement
The Regulatory and Assurance team is a newly established “Center of Excellence” within the CACIB Compliance Function and will be responsible for providing Project Management and Independent Assurance on the Regulatory Remediation performed against the Supervisory Findings and/ or Self-Identified Issues across the various functions of the bank (Compliance, Risk, IT, Finance, and other areas).
The team will be providing centralized Project Management and Quality Assurance support on Issue Remediation efforts undertaken by the remediation owners (in First and Second line of defense) and perform an autonomous check and robust challenge on the end-to-end remediation performed by ensuring all elements of the findings have been addressed completely and accurately and test for design effectiveness, adequacy and sustainability of the remediation.
The team manager will develop and implement Project Management and assurance methodology, challenge framework and templates for independent assurance review and build out the governance framework for review of the assurance review results.
He / She will plan, lead and deliver issue focused Project Management and assurance reviews and provide independent insights and feedback, prepare review reports and conduct close out feedback sessions with remediation owners.
The team is responsible for educating and advising the first and second line of defense through periodic training or other media on emerging risks and potential issues based on evolving regulatory environment and supervisory expectations.
The manager will create and disseminate policies, procedures and templates on raising self-identified issues. The team will promote the culture of self-identification of issues across the organization and establish a robust framework to identify report and remediate self-identified issues. It will work with the issue owners to develop action plans and remediation timelines and track their implementations until closure.
He / She will be in charge of the reporting of the team’s activities through a dedicated committee and MIS.
Knowledge and Essential Skill Requirements:
Bachelor or Master Degree.
At least 12-15 years of professional experience in the banking industry in Internal Audit, Consulting, Compliance Testing or Quality Assurance functions.
Experiences in international context.
Experience in dealing with US banking regulators.
His/her capability to understand and to analyze complex situations, his/her flexibility, his/her rigor and his/her positive mind set, allow you to confront new challenges with strategic stakes.
He/she has a strong understanding of regulatory requirements, guidance and expectations in particular in terms of effectiveness and sustainable of remediation of regulatory findings.
Experience in Regulatory Project Management.
His/her taste for managing operational teams or project teams, his/her will to look for solutions in complex environments will be critical for the correct execution of this job.
Strong analytical, problem-solving and organizational skills.
Capable of handling multiple, simultaneous and various ad-hoc requests.
Demonstrated history of taking initiatives.
Ability to prioritize and work in a dynamic, deadline focused environment.
Analytical capability: able to break down complex problems into simple manageable units, develops solutions for each unit and integrates them back into the whole.
Strong intellect with consistent application of analytical skills and capacity to translate technical and complex issues for broader audiences in a straightforward manner, articulating the key issues facing the group; ability to get up to speed quickly with complex issues.
Result oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results.
Communication Skills: excellent verbal, writing and presentation skills with the ability to interact with stakeholders at all levels within the organization and be able to relay complex technical concept to non-technical audience.
Strong interpersonal effectiveness: is self-aware of their own behavior and work style as well as tolerant of different needs and viewpoints. Demonstrates interest in others opinions and shows consideration, concern and respect for other people feelings.
Proactive in managing workload and prioritizing tasks, confident in taking responsibility and resolving problems with strong influencing and negotiating skills but recognizing the need to work with colleagues and to seek guidance if necessary; a hands on approach that extends to taking practical initiatives as necessary to take issues forward.
Technical rigor and attention to detail coupled with good presentation skills that demonstrate the practical implications of issues.
Patience and tenacity to obtain results that can be clearly evidenced.
Proven project management expertise.
Expert in using Excel and PowerPoint.
French is a plus.
