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Vice President - Compliance Governance & Oversight
Job Purpose
To lead the governance and oversight function within the Compliance department, ensuring robust compliance frameworks, effective risk management, and transparent reporting across the bank’s global operations. The role is responsible for driving compliance governance standards, overseeing regulatory and internal reporting, and ensuring alignment with the bank’s strategic compliance objectives.
A. Key Result Areas
Compliance Governance Framework
- Oversee and maintain a comprehensive compliance governance framework that supports effective risk management and regulatory adherence.
- Ensure governance structures are aligned with global best practices and tailored to local regulatory requirements.
- Periodically review and enhance governance models to reflect changes in the regulatory landscape and business strategy.
Oversight and Monitoring
- Lead the development and execution of enterprise-wide compliance oversight programs, including thematic reviews, control testing, and risk assessments.
- Monitor the effectiveness of compliance controls and escalate material issues to senior management and governance committees.
- Ensure timely follow-up and closure of identified compliance gaps and audit findings.
Regulatory and Internal Reporting
- Oversee the preparation and delivery of high-quality compliance reports for regulators, senior management, and board-level committees.
- Ensure consistency, accuracy, and completeness of reporting across jurisdictions and business lines.
- Develop dashboards and metrics to track compliance performance and emerging risks
Committee Management
- Manage the governance and operations of compliance-related committees, including the Compliance Committee, Regulatory Risk Committee, and other forums.
- Coordinate meeting agendas, materials, minutes, and action tracking to ensure effective decision-making and accountability.
- Facilitate cross-functional discussions and ensure alignment on compliance priorities.
Policy and Standards Oversight
- Oversee the lifecycle of compliance policies, including drafting, review, approval, dissemination, and periodic refresh.
- Ensure policies are harmonized across jurisdictions and reflect current regulatory expectations.
- Lead policy awareness and training initiatives to embed a strong compliance culture
Stakeholder Engagement
- Act as a strategic partner to business units, control functions, and senior leadership on governance and oversight matters.
- Liaise with internal audit, legal, and risk teams to ensure coordinated compliance efforts.
- Serve as a key point of contact for regulatory inquiries and inspections related to governance and oversight.
B. Operating Environment, Framework and Boundaries, Working Relationships
- Operates in a dynamic, multi-jurisdictional regulatory environment.
- Requires coordination across global business lines and control functions.
- Must manage competing priorities and regulatory expectations with agility and precision.
- Operates within the bank’s enterprise risk management and compliance frameworks.
- Bound by regulatory requirements, internal policies, and governance protocols.
- Must adhere to escalation procedures and decision-making hierarchies
- Must analyze complex governance and oversight challenges and propose structured solutions.
- Requires judgment in balancing regulatory expectations with operational feasibility.
- Must anticipate governance risks and proactively implement mitigation strategies.
- Ability to resolve cross-functional issues and drive consensus among stakeholders
- Support process restructuring, outsourcing, and system development, maintaining robust compliance controls and acting as a risk steward.
- Handle complex issues and sensitive information efficiently.
C. Decision Making Authority & Responsibility
- Make decisions on governance and oversight matters within defined thresholds.
- Recommend enhancements to compliance frameworks and escalate significant issues.
- Contributes to strategic decisions impacting compliance governance and risk posture.
D. Knowledge, Skills and Experience
- Education:
- Bachelor’s degree in Law, Finance, Business Administration, or a related field.
- Advanced degree or professional certifications (e.g., ICA, CAMS, CRCM, CCEP) preferred.
- Experience:
- Minimum 12 years of experience in compliance, governance, or risk management within financial services.
- At least 5 years in a senior leadership role with global or regional oversight responsibilities.
- Proven experience in managing compliance governance frameworks and regulatory reporting.
- Skills and Competencies:
- Strong understanding of global regulatory frameworks and governance principles.
- Excellent communication, analytical, and stakeholder management skills.
- Strategic mindset with attention to detail and execution discipline.
- High integrity, sound judgment, and ability to influence at senior levels.
- Familiarity with governance technology platforms and data analytics tools is a plus.
To lead the governance and oversight function within the Compliance department, ensuring robust compliance frameworks, effective risk management, and transparent reporting across the bank’s global operations. The role is responsible for driving compliance governance standards, overseeing regulatory and internal reporting, and ensuring alignment with the bank’s strategic compliance objectives.
A. Key Result Areas
Compliance Governance Framework
- Oversee and maintain a comprehensive compliance governance framework that supports effective risk management and regulatory adherence.
- Ensure governance structures are aligned with global best practices and tailored to local regulatory requirements.
- Periodically review and enhance governance models to reflect changes in the regulatory landscape and business strategy.
Oversight and Monitoring
- Lead the development and execution of enterprise-wide compliance oversight programs, including thematic reviews, control testing, and risk assessments.
- Monitor the effectiveness of compliance controls and escalate material issues to senior management and governance committees.
- Ensure timely follow-up and closure of identified compliance gaps and audit findings.
Regulatory and Internal Reporting
- Oversee the preparation and delivery of high-quality compliance reports for regulators, senior management, and board-level committees.
- Ensure consistency, accuracy, and completeness of reporting across jurisdictions and business lines.
- Develop dashboards and metrics to track compliance performance and emerging risks
Committee Management
- Manage the governance and operations of compliance-related committees, including the Compliance Committee, Regulatory Risk Committee, and other forums.
- Coordinate meeting agendas, materials, minutes, and action tracking to ensure effective decision-making and accountability.
- Facilitate cross-functional discussions and ensure alignment on compliance priorities.
Policy and Standards Oversight
- Oversee the lifecycle of compliance policies, including drafting, review, approval, dissemination, and periodic refresh.
- Ensure policies are harmonized across jurisdictions and reflect current regulatory expectations.
- Lead policy awareness and training initiatives to embed a strong compliance culture
Stakeholder Engagement
- Act as a strategic partner to business units, control functions, and senior leadership on governance and oversight matters.
- Liaise with internal audit, legal, and risk teams to ensure coordinated compliance efforts.
- Serve as a key point of contact for regulatory inquiries and inspections related to governance and oversight.
B. Operating Environment, Framework and Boundaries, Working Relationships
- Operates in a dynamic, multi-jurisdictional regulatory environment.
- Requires coordination across global business lines and control functions.
- Must manage competing priorities and regulatory expectations with agility and precision.
- Operates within the bank’s enterprise risk management and compliance frameworks.
- Bound by regulatory requirements, internal policies, and governance protocols.
- Must adhere to escalation procedures and decision-making hierarchies
- Must analyze complex governance and oversight challenges and propose structured solutions.
- Requires judgment in balancing regulatory expectations with operational feasibility.
- Must anticipate governance risks and proactively implement mitigation strategies.
- Ability to resolve cross-functional issues and drive consensus among stakeholders
- Support process restructuring, outsourcing, and system development, maintaining robust compliance controls and acting as a risk steward.
- Handle complex issues and sensitive information efficiently.
C. Decision Making Authority & Responsibility
- Make decisions on governance and oversight matters within defined thresholds.
- Recommend enhancements to compliance frameworks and escalate significant issues.
- Contributes to strategic decisions impacting compliance governance and risk posture.
D. Knowledge, Skills and Experience
- Education:
- Bachelor’s degree in Law, Finance, Business Administration, or a related field.
- Advanced degree or professional certifications (e.g., ICA, CAMS, CRCM, CCEP) preferred.
- Experience:
- Minimum 12 years of experience in compliance, governance, or risk management within financial services.
- At least 5 years in a senior leadership role with global or regional oversight responsibilities.
- Proven experience in managing compliance governance frameworks and regulatory reporting.
- Skills and Competencies:
- Strong understanding of global regulatory frameworks and governance principles.
- Excellent communication, analytical, and stakeholder management skills.
- Strategic mindset with attention to detail and execution discipline.
- High integrity, sound judgment, and ability to influence at senior levels.
- Familiarity with governance technology platforms and data analytics tools is a plus.
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