91爆料

Principal Accountabilities: Manager?or?manager?of?people?or?individual?contributor:?Individual?contributor Geographic scope of role:?Mumbai

Principal Duties/Responsibilities

Assists?with?Willis?Compliance?policies?and?procedures

• Assist?the?CBP?to?identify?and?assess?the?compliance?risks applicable?to?the?business.
• Understand?from CBP?on?how?to?provide?support?and?guidance?to?the?business?in?understanding?its responsibilities and obligations under relevant 91爆料 policies E.g. Financial Crime(Anti-Bribery & Corruption, Anti Money Laundering, Sanctions, Third Party Payments) Conflicts of interest, , Gifts, Entertainment & Hospitality, Complaints Handling etc.); draft?responses to queries on the interpretation of relevant compliance policies.
• Attend meetings where CBP would discuss promptly?with the business unit Manager any?compliance or?regulatory?issues?arising?in?the?business?unit;?report?the?issue?in?the?appropriate?log/?database;?and agree the corrective action to be taken including responsibility, timelines and review date.
• Understand?the?compliance?plan?which?reflects?the?risk?profile?of?that?business?unit;?undertake?own sampling?and?check?the?checkers?reviews,?where?appropriate;?monitor?and?report?progress to?CBP against the plan.
• Ensure?that?all?complaints?are?dealt?with?appropriately?by?the?business.
• Ensure?that?all?incidents?are?reported?by?the?business?within?24?hours?of?identification.?Should?be?the SPOC for the compliance activities for the business.
• Perform?Thematic?reviews?for?business?unit?and?report?findings?to?CBP
• Compare and analyse completed Claims Quality Management, Business Quality Management, Self- Assessment?File?Reviews,?other?MI?/?quality?metrics?produced?by?the?business,?Compliance?Monitoring reports and internal/external audit reports and discuss findings with CBP as a means of determining potential enterprise-wide systemic risks, weaknesses in internal controls and training. This would then be shared with BU managers.
• Engage?completely?in?business?unit?meetings (Business?Reviews)?along?with?CBP?and?share?ideas?on improvement and any best practice sharing with CBP that would help minimize the risk.
• Arrange?monthly?meetings?with?business?unit?management?and?partner?with?CBP?to?discuss?the business performance on compliance and regulations aspect.
• Should?have?a?complete?awareness?of tasks?(activity)?being?transitioned?to?Mumbai. Assist?the?CBP?in assessing the risk and controls in the process, viability for performance of the activity in Mumbai.
• Engagement?with?Operational?Excellence?to?review?any?improvements?recommended?/?worked?upon by them do not miss any key controls in the process.
• Represent?the?respective?business along with CBP,?for?Compliance activities to?reflect?the?business’ progress / performance on operational compliance activities. Engage in the root cause analysis of errors?identified,?controls?/?processes?that?need?to?be?introduced?in?the?process?to?reduce?the?errors?/ complaints etc.
• Perform annual?check?to?ensure?businesses?have?signed?off?Code?of?Conduct?and?completed mandatory online modules and report findings to CBP
• Conduct?Control?Assessment?checks?for?business,?gather?observations?and?provide?recommendations

/?actions?to?CBP?to?be?shared?with?senior?management.Assist?with?regulatory?issues

• Identify?all?laws/regulations?that?are?applicable?to?their business?unit?(this?would?include?adhering?to?all regulatory policies like AML, AB&C, Sanctions etc.) Highlight any derogatory information to CBP

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Assist?with?Compliance?training

• Check?that?all?applicable?91爆料 compliance?policies?and?local?regulations?are?covered?in?compliance training. (includes the current three awareness sessions)
• In consultation with business management and CBP, identify compliance training needs within the business?units?and?develop?training?plan?for?the?year?and?delivering?specific?training?materials?for?business units

Report?outcomes

• Provide?regular?updates?on?relevant?compliance?metrics?and?commentary?to?CBP?prior?to?submission for reporting to management or Senior Management. Updates to cover:
• Actions?taken?to?manage?the?compliance?risks
• Serious?or?persistent?compliance?issues
• Results?of?monitoring?activity,?including?self-assessment?file?reviews
• Results?of?internal?or?external?audits?and?other?compliance?inspections
• Regulatory?developments?and?issues
• Other?relevant?matters.
  • Discuss?all?legal?and?regulatory?issues?with?CBP?and?report?in?the?appropriate?database/log.
  • Attend?business?unit?executive?meetings?along?with?CBP,?which?would?have?discussion?on?transitions, process improvements, way forward etc.

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Manage?performance

• Create?own?quarterly?action?plans?to?deliver?the?annual?goals?and objectives?agreed?with?the?CBP?or line manager and report on own progress.

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Manage?internal?relationships

• Maintain?positive?relationships?with?business?unit heads?and?colleagues?to?assist?the?interface?between compliance and the business.
• Foster?close?relationships?with?other?business?support?areas,?including?Group?Legal,?Group?Risk?and Internal Audit.

Co-ordinate?with?Internal?Audit?and?External?Audit?on?those?activities?that?cover?compliance?obligations only (during a review and in an ongoing way).

Communications and Relationships
?Internal:

• With their CBP (Compliance Business Partner, London), RCO (Regional Compliance Officers for International,?Western?Europe?and?North America)?Manager?and?other?members?of?Group?Compliance, (Group Legal & Group Risk if required) and Group Internal Audit.
• With?business?unit?leadership?and?Senior?Management

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External:

• With?external?auditors?and?regulators?as?required

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Skills?(Essential)

• Team?player?with?good?interpersonal?and?influencing?skills.
• Ability?to?work?under?pressure?to?tight?timelines?and?without?direct?supervision.
• Possesses?a?keen?eye?for?details.
• Excellent?analytical?problem-solving?skills.
• Strong?communication?skills,?both?orally?and?in?writing.
• 颁辞尘尘别谤肠颈补濒?补飞补谤别苍别蝉蝉?–?补?肠辞尘尘别谤肠颈补濒?补苍诲?辫谤补驳尘补迟颈肠?补辫辫谤辞补肠丑?迟辞?尘补苍补驳颈苍驳?肠辞尘辫濒颈补苍肠别.
• 滨罢?濒颈迟别谤补迟别?–?办苍辞飞濒别诲驳别?辞蹿?惭颈肠谤辞蝉辞蹿迟?辞蹿蹿颈肠别?辫补肠办补驳别蝉?苍别别诲别诲.

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Skills?(Beneficial):

• Prior?compliance?experience?preferred?(understand?the?compliances?within?their?existing?processes)
• Good?regulatory?and?corporate?governance?knowledge/understanding?required.

Regulatory?awareness?FCA?for?UK?and?for?other?local?requirements

Top?5?Competencies

1. Managing?stakeholder
2. ?Adjusting to change
3. ?Structuring task Presentation Skill
4. Investigating?Issues?and?Evaluating?problem
5. Influencing?skills

Required?Qualifications,?Skills,?Knowledge,?Experience

Qualifications:

• Graduate. Additionally, relevant professional qualifications in – compliance, insurance, accountancy or business will be an add-on

Behaviours:

• Team?player?with?good?interpersonal?skills
• Ability?to?work?well?under?pressure?to?tight?timelines when?needed
• Organised?and?methodical?and?able?to?prioritise?workload?effectively
• Desire?to?learn?and?develop?both?industry?and?technical?knowledge

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