Financial Criminal Compliance Assistant VP

  • 40万至50万
  • Guangzhou, Guangdong Sheng, China
  • Permanent, Full time
  • Cornerstone Global Partners
  • 19 Sep 16

This role typically would lead multiple FCC & RC operations processes with reporting managers, supervisors and operational specialists. Responsible to implement effective controls to ensure adherence to procedures & other Business specific regulations. Lead & Manage On-going process improvement initiatives to drive performance on quality, efficiency, cost, and risk-related targets

Impact on the Business


  • Ensure all the processes are meeting Timeliness, Quality and any other PLA standards agreed with the Business and are continuously reviewed.
  • Ensure that the teams have sufficient domain knowledge to deliver on the process requirements. Subject Matter Expertise should be retained within the department.  
  • Work is organized and processed / completed within agreed timescales. Ongoing monitoring and review of workflow and priorities are in accordance with procedures.
  • Process productivity and quality targets are set, monitored and achieved to ensure optimum resource utilization and achievement of business objectives and customer Service Level Agreements (SLAs)
  • Work with other COBS sites to share and implement best practices.

Customers / Stakeholders

  • Enhancing the effectiveness & efficiency of the work being delivered by the teams.
  • Establish and maintain effective relationship with customer business areas and identify areas of service improvements.  Implement a robust Relationship Management Model.
  • Work with the peer sites (GSCs) to share best practices or provide the required support.
  • Leadership and effective performance management of the team.
  • MI and other business data requirements are completed accurately and supporting statistics/reports/returns are presented to business / management within agreed timescales.

Leadership & Teamwork


  • Focuses on employee-related concerns such as attrition, absenteeism, morale, disciplinary action, conflict resolution and/ or employee grievances, motivation through collaboration with Employee Relations and concerned parties.
  • Effective communication with peers in terms of best practice sharing to ensure that optimum use of resource is made across the sections and that robust cross training plan is in place to multi skill operation teams.
  • To lead and motivate staff with widely differing aspirations.
  • Ensure that performance management, succession development plans are in place for all teams that contribute to the processes in designated process groups.
  • Lead/Provide guidance on any change initiatives related to the processes.

Operational Effectiveness & Control

  • To continually reassess the operational risks inherent in the business taking account of changing economic or market conditions, legal and regulatory requirements, operating procedures and practices, management restructurings, and the impact of new technology
  • To maintain internal and external control standards, including the timely implementation of internal and external audit points together with any issues raised by external regulators.
  • Ensuring the department stays compliant with the Bank’s operational risk procedures to deliver a satisfactory Audit.