ID de la solicitud: 276489
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Purpose
Regulatory Operations & Controls under Global Regulatory Operations and Internal Controls in GBS Dominican Republic ensuring the Volcker Rule, FATCA (Foreign Account Tax Compliance Act) and CRS (Common Reporting Standard) are being properly executed across the Caribbean Region in support of the team’s business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures.
Accountabilities
VOLCKER:
- Coordinate with the front and back office as required, the implementation of the Volcker compliance program in assigned jurisdictions as per the Enterprise and International Banking Volcker Policies and Procedures.
- Responsible for breach identification, escalation, and resolution.
- Coordinate with business lines to complete and update the Desk Operating Plan (DOP) and any other required desk level documentation such as ADA (Annual Desk Assessment) and US Touch Points.
- Review, assist and monitor the completion, implementation, and maintenance of front office Volcker requirements, including all the pillars such as: Internal Controls, Desk Operating Policies, Management Framework, Recordkeeping, Training, and Metrics.
- Prepare consolidated control assessment reports to stakeholders and senior management detailing review findings and recommendations. Periodically report on significant activities conducted and planned for the upcoming period. Review all banking-related reports prior to vetting the report with other stakeholders.
- Escalate potential issues and exception items noted during the review process to senior management and governance team for discussion and further investigation if deemed necessary.
- Review and assist in preparing for Volcker regulatory and audit requests including collating information and providing responses.
- Monitor and review updates on outstanding Volcker audit issues and the respective management response to prepare consolidated report to Senior Management.
- Identify and address opportunities for improving Volcker controls and efficiencies of processes
FATCA/CRS:
- Oversee and support the day-to-day activities of the team in implementing the FATCA/CRS operating model in supported Business Units and the ongoing sustainment monitoring support.
- Support the Bank’s regulatory compliance programs for FATCA/CRS to ensure consistency in approach, execution, and reporting.
- Promote risk awareness by effectively communicating changes and developing training program and materials to help supported Business Units to understand their roles and responsibilities, to bring awareness and understanding of regulatory risks and issues.
- Assure timely completion of the FATCA/CRS remediation activities and certification for all supported Business Units through evaluation of FATCA/CRS operational reports.
- Oversee FATCA/CRS reporting and submission to regulators with Business Units, local Compliance where applicable and Regulatory Operations and Controls (ROC).
- Monitors all EUC tools (e.g., files and databases) across International Banking that are outside of the Enterprise-grade IT Control environment, mitigate their risks, and implement the framework established for managing and monitoring all controls required to comply with Directives.
- Collaborate with Internal Audit teams to comply with local compliance regulations in every jurisdiction supported.
Education/Experience/Other information
- University degree in a business or legal related field. Relevant master’s degree is desirable
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Minimum of 3 years of professional experience in financial or consulting industry, preferably in wealth management, capital markets or compliance function.
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Knowledge of Banking Operations, Operational Risk Management, Regulatory Risk, Compliance, and principles of Internal Control
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Ability to analyze, plan, schedule, prioritize and deal with multiple stakeholders to achieve expected targets on time
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Good knowledge of Bank's regulations, policies, procedures, operations and functions;
- Advanced English
- Excellent knowledge of the roles and responsibilities of other bank service and support functions crossing all delivery channels
- Excellent interpersonal and communication skills with the ability to interact effectively with internal and external stakeholders, senior management and able to influence without authority.
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Microsoft Office proficiency
Ubicación(s): República Dominicana : Distrito Nacional : Santo Domingo || República Dominicana : Santo Domingo : Santo Domingo Este || República Dominicana : Santo Domingo : Santo Domingo Norte || República Dominicana : Santo Domingo : Santo Domingo Oeste
Dirección de trabajo: KM 22, Zona Franca Las Americas
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