MANAGEMENT AND COMPLIANCE
- Focus on business fundamentals and ensure the base principals are applied throughout the division, such as: AML/KYC, compliance with laws and regulations, training and implementation of the Code of Ethics and Conduct (COEC), delegation on user access...
- Review operational losses, monitor remediation plans and take preventive measures
- Identify and eliminate business problems/barriers through the smooth handling of issues
- Provides an overview of the governance and reporting environment of GTS's business, operating at a high level and in compliance with all regulations, policies, internal processes and laws
- Ensure business continuity with appropriate approval authority
- Lead business audit activities, ensure readiness for activities before and during the audit, resolve and comply with all audit findings
- Effectively implementing Compliance Risk Management in the GTS Division, proactively identifying and mitigating risks (Operational risk, customer risk management, governance standards and risk self-assessment (RSC) ), Customer Due Diligence)
- Periodically review the effectiveness of the organizational structure
- 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
- Monitor existing checkpoints and write reports/reviews for Chief GTS Officer, Corporate Assurance and regulatory agencies
- Assist in the coordination, preparation and submission of compliance-related reports and assessments as required.
- Review, coordinate and provide compliance support for GTS-related complaints
- Coordinate and provide compliance support related to initiatives and projects
- Review and update compliance policies and procedures
- Coordinate and conduct compliance training