•Participate in audits of the designated SS entities in accordance with IA standards and applicable US/ local regulatory statutes
•Understand and evaluate risks and controls related to SS to deliver effective and risk focused audits
•Develop and execute business monitoring plans and prepare quarterly monitoring results to provide an opinion of the control environment
•Demonstrate excellent communication and interpersonal skills
•Develop effective working relationships with business management to keep abreast with the changes
•Monitor and validate corrective actions for IA and regulatory issues
- ● 商業及管理學門 相關科系
- ● 證券商高級業務員 專業憑證
1. Actively collaborate with business leaders to identify, evaluate, and manage regulatory adherence risks arising from the definition of business strategy, development of new products and services, changes in regulations or internal policies, or from business-led changes. This involves promoting a culture of responsible business innovation with a strong emphasis on demonstrable regulatory adherence through key risk and controls monitoring.
2. Continuously work with business leaders and process owners on regulatory obligations, contributing to the end-to-end development of controls and monitoring tools to ensure they are sufficiently designed to adhere with applicable regulations. This includes active engagement during the periodic business risk assessment, as well as control and monitoring design assessments to ensure identified regulatory risk is well understood and addressed.
3. Continuously evaluate and drive the maintenance of an existing regulatory inventory to supporting effective controls and monitoring tools to ensure the effective demonstration of adherence to applicable laws and regulations.
4. Conduct an annual regulatory risk evaluation as part of the internal annual risk assessment. Through this risk evaluation, identify and escalate points of high risk, especially items where the defined risk appetite exceeds certain internal thresholds. After which, a regulatory adherence report on regulatory obligations is to be consolidated for senior management on recommended corrective actions and improvements required to mitigate the identified risks.
5. Proactively identify business opportunities to improve regulation risk management, prioritizing reviews to uncover root causes and unknown drivers of risk. The candidate will analyze and define data and findings so as to present clear and concise recommendations to business leaders to strengthen their ability to make impactful strategic decisions, policy and procedure improvements, and improve other business strategies.
6. Develop strong relationships with Business and Functional teams (which includes but is not limited to Compliance Risk Management, Legal, Operational Risk Management, Internal Audit) so as to increase engagement with these teams so as to reduce and mitigate regulatory risks. The IBRR manager will also partner with Business Teams in the continuous enhancement of regulatory controls and monitoring. This includes engaging with business team leads and process owners to develop requirements to automate/digitize controls and monitoring where appropriate.
7. Guiding the various business teams and process owners across the consumer business (inclusive of operations and technology), on establishing permanent audit readiness activities that effectively demonstrate adherence to applicable regulatory obligations. This includes providing guidance to or participating in targeted review teams, and engaging with Internal Audit and Compliance Risk Management teams over potential regulatory audit findings.
8. Support the Country Consumer Bank In-Business Privacy Officer (IBPO) in the implementation of Citi Privacy and Confidentiality Policy and Standards. Coordinate with Privacy Notice owners to maintain an inventory of Privacy Notices and Choices, and relevant business procedures, and assist in the review of Privacy Impact Assessment for Country initiatives. The candidate will also partner with Legal and the Privacy Officer to ensure business adherence to Privacy laws including those with extra-territorial impact, e.g. General Data Protection Regulation (GDPR) and California Consumer Privacy Act (CCPA).
- 台北市信義區|月薪 32,000~38,000元月薪 32,000~38,000元|經驗不拘|高中職、專科、大學、碩士、博士展開收合
薪資:在9000人民幣 -15000人民幣 之間
上班時間: 上午10點-晚上7:00 (含休息時間) ，月休四
官方Line： @ogl3760p (記得加@)
- 台北市信義區|月薪 50,000~60,000元月薪 50,000~60,000元|經驗不拘|大學、碩士展開收合
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- ● 商業及管理學門 相關科系