PURPOSE OF POSITION AND FUNCTION
Compliance Testing is a part of compliance function. To fulfill the commitment made by JPM to the OCC, "Office of Contemptroller and Control", an independent compliance testing function is to be established. It is responsible to deliver a risk-based compliance testing framework to support the bank's compliance with laws, regulations and bank policies. According to CBRC's Guideline for Compliance Risk Management of Commercial Banks, compliance department should perform compliance testing as part of its function.
Responsible for LIB compliance testing coverage to assess whether controls and procedures are designed to meet existing regulatory requirements and internal policies, and to ensure whether practices are carried out as required.
Responsibilities includes development and execution of compliance testing plan for LIB in coordination with country and regional compliance managers, in assisting various risk assessments, following up the status of prior issues/action plans and participation in location initiatives/special projects. In addition to China testing, there are opportunities to work on AP testing projects.
Previous working experience in financial industry, ideally in audit [internal and external], risk management and/or compliance is preferred.
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