Compliance Assurance Manager

6 days ago

Manila, National Capital Region, Philippines Eastwest Ageas Insurance Full time

Overall purpose and responsibilities of the role:

This role is accountable to assist the Compliance Head and Chief Legal & Compliance Officer (CLCO) in fulfilling the mandate of the Compliance function which is to ensure the sound and effective management of business and compliance risks within the Company.

The responsibilities of the Compliance function are:

  • To develop a robust & effective compliance program aligned with the Company's business goals and strategies
  • To oversee and coordinate the consistent application of the Compliance program across the organization
  • To maintain a system of identifying, analyzing, monitoring, and reporting to Senior Management and the Board, through the Audit Committee, compliance risks and issues
  • To promote compliance awareness and culture across the organization
  • To foster a harmonious and constructive relationship with all appropriate regulators.

Subject to the review and direction of the Compliance Head/CLCO the role will:

  • Prepare, implement, and execute an effective and efficient 1) Compliance Operating Plan and 2) Compliance Testing Program;
  • Report to the Compliance Head/CLCO the results of Compliance Tests conducted, highlighting any major or pervasive compliance issues that require senior management action.Compliance testing shall include but are not limited to the following:
    1. Anti-Money Laundering and Know Your Customer (AML & KYC)
    2. Data Privacy and Protection
    3. Sales / Distribution and/or Market Conduct Reviews
    4. FATCA
    5. Business Continuity Program
    6. Procurement & Outsourcing
    7. Competition and/or Anti-Trust
    8. Corporate Governance
    9. Fraud;
    • Monitor the completion of action plan of business units to rectify noncompliance with control standards or other findings arising from compliance assessments/testing, and provide updates on the same;
    • Responsible for timely and complete preparation and submission of internal and external reporting requirements such as but not limited to legal and regulatory updates, compliance breaches and incidents, compliance risk assessments, etc. through the Compliance Report to the Audit Committee, Key Risk Report, Quarterly Compliance Reports to Ageas Group and/or Regional Office;
    • On a continuous basis, review the effectiveness of the compliance testing program & methodologies, make recommendations on the improvement of such taking into consideration best practices within and outside the insurance industry, local and foreign;
    • Monitor and validate any regulatory findings and directives in accordance with Board and/or management approved action program until their completion;
    • Monitor and assist in the end-to-end process of investigation, monitoring, and reporting of Data Privacy breaches as second line of defense, including assisting management in formulating an action plan to prevent recurrence of issues;
    • Oversee the completion and updating of the Regulatory and Ageas/EWA Policy Inventories; and
    • Perform other tasks as may be assigned.

Essential Skills / Qualifications:

Education:

  • College degree in a Business course, preferably a CPA
  • Internal Audit experience is an advantage
  • Privacy, Information Security, Fraud, and AML Training is preferred
  • Professional certifications such as: CIA, CISA, CISSP, CRMA, CISM, etc., is an advantage

Experience:

  • With at least eight (8) years relevant experience in compliance and/or audit in a financial institution and/or professional accounting firm
  • With experience leading and completing audits

Technical Competencies:

  • Strong background in Compliance and/or regulatory framework
  • Audit lead skills, including IT audit
  • Demonstrated business acumen or understanding of broad business issues
  • Proficiency in oral and written communications, including skills in persuasion and advocacy
  • Project and/or change management skills
  • Analytical skills and ability to think critically
  • Problem solving and decision-making skills
  • Coaching and ability to manage junior team members
  • Working knowledge in eBao, Dow Jones, ComplyAdvantage, and other insurance systems is an advantage

Behavioral Traits:

  • Must demonstrate a high degree of professionalism, honesty, integrity; must have an impartial, unbiased attitude in the performance of the compliance function
  • Must have an inquiring mind, with the ability to respectfully challenge management with the goal of finding root causes of issues and the sustainability of the solutions proposed by management to address the same
  • Leadership mindset
  • Pro-activeness and self-motivation
  • Ability to exercise good judgment, diplomacy, and tact, with the mindset of collaboration with stakeholders to achieve common goals
  • Capacity to think out of the box to generate options/solutions
  • Friendly and ability to work in a team atmosphere, without compromising the independence of the Compliance function
  • Ability to recognize and maintain confidentiality
  • Excellent organizational and time management skills
  • Must regularly update the Compliance Head/CLCO on trends/developments that might have an impact on delivery dates or other Compliance initiatives
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