Regional QA, Governance and Projects

**Job purpose**:

- Ensure global, regional standards and where applicable, local standards in the execution of anti-financial crime and markets compliance control activities within the scope of the GRM-CO Mandate are adhered to.
- Support and perform detailed financial crimes QA/spotcheck testing and control process reviews in line with control descriptions, policies and procedures to assess the effectiveness of the global, regional standards and where applicable, local standards.
- Escalate as appropriate, any identified financial crimes related risks and issues to the QA Lead/Head of Regional QA, Governance and Projects Asia.
- Review and assess customer data for QA Review Plan and testing execution purposes across the Asia region both in-country and from regional location.
- Provide input into the regional Compliance Training Plan to reflect findings of the QA/spotcheck review program executed by the Regional QA, Governance and Projects Team.
- Support and provide guidance to the country units in region in adhering to global requirements regarding central compliance processes such as reporting, training, Compliance reviews, control governance, etc and where required, facilitate liaison with Region and Head Office.
- Provide support to the Head of Regional QA, Governance and Projects Asia regarding all regional initiativies and where allocated, take ownership for regional processes and systems control improvements and execution.

**Key activities**:

- Execute QA/spotcheck testing to support and deliver the QA Review Plan for Asia, covering on a risk-based approach, global, regional and where applicable, local financial crimes and markets compliance controls executed by GM-CO locally.
- Identify control weaknesses across financial crime and markets compliance areas in Asia and propose effective and timely remediation activities.
- Support communication of QA/spotcheck or project feedback and results to allow effective stakeholder management and where required, suggest targeted measures to address identified issues and root causes through to remediation.
- Support Regional Head in managing risks across Asia through identification and closure tracking of QA/Spotcheck results.
- Input and support the reporting of regional QA and projects key metrics such as completion of trainings/ QA/Spotchecks /Progress decks etc.
- Analyze regional QA/spotcheck results and outcomes to support ongoing assessment of Risk Profiles and to assist in the ongoing development of the risk based QA Plan for Asia.
- Help align regional training content with results from executed QA/spotcheck reviews.
- Support the proactive enhancement of QA/spotcheck test plans against regional procedures and control processes.
- Support and input into the regional QA/spotcheck methodology and approach documentation on a regular basis.
- Assist with the maintainance of regional procedures, supporting compliance controls and perform regional system checking of any related re-routed alerts (e.g. Actimize) for appropriate re-allocation.
- Provide support for regional initiatives as GM-CO QA Asia representative, where required.
- Take ownership of (key) control execution and governance topics where required within the remit of Regional Compliance QA and Governance.
- Support, track, attend and organize committees and other meetings.
- Be accountable for own relevant tasks and able to operate autonomously.
- Support when required with necessary tasks for potential outsourcing and other protjects within different stages of maturity such as preparation, execution and evaluation.
- Support and liase with stakeholders where necessary during preparation, execution and follow-up of in
- and external review and audit exercises.

**Formal education**:

- University degree required.
- Knowledge of German and/or Chinese is a plus.

**Specialist knowledge (work experience, further qualification)**:

- Minimum of 3 years of Compliance relevant working experience in a international financial instition or service provider.
- Good understanding of financial crime risks, with a focus on corporate business, Transaction and Sanctions Monitoring, KYC/EDD, Anti-Fraud, Bribery and Curroption are preferred.
- Some experience in executing control testing reviews in financial crimes compliance.
- Work experience gained in conducting QA/testing/assurance roles within a Compliance organization.
- Proactive approach and solution oriented in solving of outlined tasks - no waiting of reply or instructions where applicable.