Wholesale Banking Governance Officer

Found in: Talent AE C2 - 1 week ago

Sharjah, United Arab Emirates Invest Bank Full time

JOB ACCOUNTABILITIES-

  • Policies, Standard Operating Procedures and Forms
  • Prepare and review Policies and Procedures for WB Units, based on Central Bank guidelines, Audit, Risk Operation and Risk observations and to propose actions required whenever needed; Act in coordination with the unit managers to operationalize all policy and SOP documents.
  • Monitor all forms (printed and electronic) across all channels.
  • Ensure compliance with consumer protection for WB products and services.
  • Handle MIS for HOWB.
  • Product Controls & WB Delegation of Authority (DOA) Matrix
  • Maintain the DOA matrix for WB to ensure breaches are escalated and appropriate actions taken immediately.
  • Work along with the Heads of the respective Units in WB to ensure the documented policies and processes are rolled out and units exercise due diligence in sticking to the policies, SOP's;
  • Monitor transactions for all products and alert/escalate cases of regulatory breaches to Head of WB.
  • Monitor TAT of transactions for all products and services and escalate abnormal delays to Head of WB.
  • WB Controls & Governance - Checks and Controls:
  • Exercise oversight, monitor, investigate and where necessary, implement corrective actions in respect of all controls, processes, regulatory and compliance guidelines across all WB Units
  • Monitor and control regulatory breaches in transactions in inoperative accounts, non-renewed Safe Deposit Lockers, ex-staff accounts continuing to enjoy staff benefits to name a few amongst various scenarios.
  • Ensure that WBs staff are performing their activities, upholding the code of conduct specified by the Human Capital complying with consumer protection to prevent miss-representation, mis-selling and fraud.
  • Review Policies and Procedures related to Operations Units based on regulatory guidelines and/or observations from Audit, Operational Risk, AML/Compliance etc. Responsible to take care of ad-hoc bank-wide regulatory exercises, especially related to Central Bank, Etihad Bureau etc. viz., KYC update/maintenance, treatment of Dormant Accounts.
  • Act as single point of contact between WB and all banks departments, with the objective of resolving procedural and operational issues that may arise at any time, while carrying out day-to-day activities.
  • Review Audit findings for WB and ensure all related activities are completed as per laid down policies and procedures; Tracking and monitoring open audit items.
  • Leading resolution to close regulatory, audit and oversight related monitoring issue generated through monitoring activities.
  • To act as the main Interface / liaise on with various units such as compliance, Ops Risk, Audit, Corporate etc.
  • Monitoring assessment and testing of control activities performed by functional teams through RCSA.
  • WB Controls & Governance - Exception handling:
  • WB Controls & Governance - Fraud Prevention
  • Represent WB in all Operations Risk and Frauds Risk related issues; assist in identifying Fraud cases in coordination with Fraud Prevention and Investigation Unit.
  • Formulate and implement various fraud identification and prevention mechanisms and control measures to ensure all exceptions are regularly monitored and escalated on priority.
  • Risk oversight in the WB unit to review the system operating procedure, Key risk indicators in line with operational risk framework and risk control self – Assessment (RCSA).
  • WB Controls & Governance - Compliance
  • Engage actively with Compliance & AML Department to sort out and resolve issues related to policies and procedures and to ensure implementation of Bank's and Central Bank's rules and regulations.
  • Monitoring the KYC exercise for WB customers with the compliance unit within the stipulated time period.
  • Ensure completion of training modules and awareness of risk, compliance, new policy for the WB unit.
  • Conduct sample checks on Account Opening through the Customer On-boarding system (for completeness and accuracy)
  • Undertake WB HUBs visits to ascertain adherence to controls and regulations in all operational activities and escalate breaches to HOWB based on their performance in all areas of CEF, Operations, Risk, Controls and Audit with detailed feedback in order to foster a high performance culture

QUALIFICATIONS EXPERIENCE & SKILLS

  • Qualifications

Bachelor's Degree in Accounting and Finance Faculty of Economic and Business Administration

  • Experience

At least 5 years of banking experience with solid understanding of all WB Products and Services , Bank Operations, policies and procedures, compliance and understanding of audit and operational risk processes, Compliance with CB Rules and Regulations

Job Specific Skills

  • Good Verbal and written communication in English
  • Hands-on experience Team Work of Project Management
  • Planning and organising skill
  • Oversight and Control compliance within bank policies and procedures
  • Adherence with CB standard and Regulations Consumer protection.
  • Proactive work ethic and unbending moral code
  • Problem Solving for Remediation
  • Management and Transformation
  • Effective communication of Audit findings and specific Recommendation
  • Strategic Planning and execution
  • Spot Audit identify weak controls area.
  • Focus on Customer Satisfaction
  • Self-starter, with ability to deal with ambiguity and develop teams, processes and governance

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