Compliance Analyst (Internal Control / Quality Assurance – Financial Crime Compliance) – ADCB Abu Dhabi Commercial Bank

Job Listing No: 9740000

Compliance Analyst (Internal Control / Quality Assurance – Financial Crime Compliance) – ADCB Abu Dhabi Commercial Bank

JOB PURPOSE

To implement the internal control framework within Compliance and associated governance across key risk areas and ensure that the risk and control environment across the bank is adequately represented in the relevant RCSAs in order to ensure that all material risks have adequate controls in place

 

ACCOUNTABILITIES

Risk and Control Assessment and Management

  • In conjunction with the Head of Department, implement, the agreed programme for control assurance in order to identify/assess key controls within Compliance and determine the design/operating effectiveness
  • Track ineffective controls and related risk assessment / conformance testing results (in light of issue origination, remediation and embedment) in order to ensure controls are operating effectively

Internal Control and Monitoring

  • Perform the review of RCSA control testing carried out by BORM’s in line with the agreed internal control framework in order to challenge KRI ratings and overall risk assessment results submitted by business functions
  • Implement the annual schedule for process reviews, identify gaps and recommend corrective actions to ensure the organisation is protected from regulatory and operational risk perspective
  • Maintain a monitoring programme to ensure effective execution of ad hoc testing assignments and that remedial actions or control improvements are implemented

Quality Assurance and RCSA

  • Perform quality assurance reviews for Compliance to compliment the outcome of RCSA programme in order to ensure consistency and keep up to date with new/revised processes
  • Prepare and document the testing outcome against the agreed plan to ensure adequate onward reporting of results to be reflected as part of Compliance MIS

Audit Management

  • Complete pre-audit preparation to define overall scope of review to be undertaken, support Compliance units to conduct pre audit reviews and flag any ‘hot spots’ in order to ensure review readiness
  • Track the status of open audit observations, review progress and quality assure the readiness for issue closure in order to ensure issues identified during audit process/regulatory reviews are addressed and relevant controls enhanced

MIS and Reporting

  • Prepare internal control testing MI ensuring required evidence is maintained in order to provide accurate and up to date data/MIS
  • Ensure standard Operational Risk procedure, programme checklists and templates are in place in order to articulate testing outcomes and embedment status
  • Support the MIS team in projecting up to date testing results to ensure these are accurately reflected in the quarterly reports prepared for MEC and BAC

Job Details

Posted Date:2018-09-16
Job Location:Abu Dhabi, United Arab Emirates
Job Role:Other
Company Industry:Banking

Preferred Candidate

Career Level:Management

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