First Line Oversight, AVP

2 weeks ago

Taipei, Taiwan State Street Full time $90,000 - $120,000 per year

The role is an Assistant Vice President position at State Street Taipei Branch.  The primary responsibility is to support country Senior Management to design the framework, implement the controls, assist Business Units to execute tasks requested by external regulators and internal stakeholders.  Acting as a single contact to coordinate legal entity wide projects and capable to perform variety of types of assignments timely . 

Key Responsibilities

Business Contingency Plan (BCP)

  • The role involves participating as a country representative of the local business units in regional or global working groups as required
  • Responsibilities include developing and maintaining country contingency plans and policy, conducting branch employee mapping in Global system, and coordinating branch-wide BCP exercises.

Control Oversight

  • Ensure effective internal controls are in place to mitigate operational risks.
  • Perform annual branch-wide controls review in system.
  • Serve as a country representative to respond control related requests.

Policy/ Procedure Development and Compliance

  • Draft and enforce policies and procedures in alignment with regulatory and corporate standards.
  • Ensure adherence to regulatory and internal policies, minimize operational, legal, and reputational risks, and reinforce ethical standards.
  • Work closely with legal, risk, compliance and audit teams.

Risk Assessment and Incident Response Coordination

  • Work with second line partners to perform annual Risk Control Self-Assessment (RCSA) and Legal Entity Risk Assessment (LERA).
  • Assist Business Units to come up with remediations to incidents and facilitate processing in Global system.

Stakeholder Collaboration

  • Lead and/or coordinate across appropriate business units implementation of activities in relation to regulatory, governance and first line of defense initiatives and projects, such as but not limited to anti-money laundering (AML), know your customer (KYC), outsourcing, operational resiliency, privacy, regulatory reporting review, treating client fairly, and conflict of interest.
  • Support Country Head on legal entity wide projects, exercises, and audits.
  • Back up to act as head of administration overseeing office operations, facilities management, procurement, general administrative functions. 

Legal Entity Governance

  • Ensure adherence to governance frameworks, ethical standards, and regulatory requirements.
  • Manage legal entity management committee (LEMC) meetings, prepare minutes, maintain statutory records, and regulatory filings.

Flexibility & Adaptability

  • The role requires adaptability to changing responsibilities, management shifts, and corporate strategies.
  • Ability to take on ad-hoc assignments as needed.

Skills & Considerations  

  • Minimum of ten years of experience in risk control related functions within financial institutions.  Experienced in Project Management would be a plus. 
  • Ability to work in an international environment.
  • Able to face off to senior executives.
  • Strong interpersonal skills for cross-department communication.
  • Proficiency in MS PowerPoint and Excel, with strong attention to details.
  • Language proficiency in Mandarin and English.

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