Global Head of Compliance Assurance
1 month ago
The Global Head of Compliance Assurance role will be a key part of the global compliance team with a focus on leading the Compliance Assurance Program globally. The individual will lead the identification, assessment and prioritization of key compliance risks, working closely with stakeholders and the regional and local compliance officers to develop risk mitigation strategies and action plans.
Working with the Global Chief Compliance Officer and Compliance Assurance Solution Architect, this role will assist in the re-design of the current annual Compliance Plan including the associated artefacts, review of the current compliance risk and control taxonomies as well as ongoing execution of the current Compliance Assurance Program. The role will also coordinate and work with RCOs and LCOs to monitor and report on regulatory change and implementation.
A key requirement in this role is to apply a strategic focus to the assessment and ongoing management of operational compliance risks to move from ‘point in time’ manual assurance to continuous monitoring solutions and exception-based reporting. This will involve a materially increased use of management information and analytics, the identification of technology solutions to improve ongoing monitoring and the planned implementation of a new Governance Risk Compliance platform.
The individual will be dynamic, business and solutions oriented and have experience in operational and compliance risk management. A continuous improvement mindset with the ability to understand regulatory requirements and overlay regulatory controls effectively into business processes. They will be able to effectively manage the compliance assurance program across regional and local compliance teams as well as collaboratively interface with areas in the business.
Responsibilities
The role will report to the Global Chief Compliance and Business Ethics Officer, Global Compliance and will cover:
- Implementation of the annual compliance risk monitoring/assurance plan and execution of such plan, ensuring it is carried out to schedule; or if schedule needs changing, work with relevant management to agree any change;
- Develop and maintain good relationships with all stakeholders to ensure that findings and test results are communicated clearly and remediated in a timely manner;
- Collaborate and contribute to the review and re-design of the Global Compliance Assurance Framework, including review of current risk and control taxonomies, assurance program, development of management and reporting artefacts; and implementation of new compliance risk profile dashboards and key compliance risk indicators;
- Undertake review of the risk assessment and compliance assurance methodologies and identify opportunities to move to automated continuous monitoring solutions where possible;
- Work with key risk domain owners and Internal Audit in review of compliance risk governance, control design and control operating effectiveness and reporting; this includes working with operations teams, particularly in the digital transformation areas, to build appropriate compliance risk controls into new processes;
- Work with legal and key risk domain leads to monitor changing regulatory obligations, effective gap analysis and report on impact and implementation requirements/status;
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