Compliance Manager reviewing broker - dealer and registered investment adviser communications for regulatory compliance. Working collaboratively with diverse business partners in a hybrid work environment.
About the role
- GRC Specialist providing leadership and customized GRC strategies for clients in the financial services industry. Collaborating with stakeholders to implement risk management, compliance, and governance practices.
Responsibilities
- Act as a trusted advisor to our clients as well as our engagement team to provide delivery leadership
- Perform As-Is analysis of GRC maturity and provide robust recommendation for To-Be GRC stage by customizing with good practices for FSI industry or client industry.
- Develop / Assist and implement GRC strategies that align with the regulatory framework and business objectives of clients.
- Develop and deliver GRC policy, procedure, and training programs for clients on risk management, compliance, and governance best practices.
- Work closely with clients, business stakeholders, and technical teams to understand requirements, design solutions, and deliver successful implementations using GRC platforms.
- Conduct workshops and meetings with business stakeholders to understand their risk, compliance, business continuity management (BCM), Third Party Risk Management (TPRM) and Audit management needs.
- Translate business requirements into functional and technical specifications for GRC platform configuration.
- Assist in the design, configuration, and implementation of GRC solutions based on client requirements.
- Develop and customize GRC solutions, including workflow creation, dashboards, reporting features and integrations.
- Design powerful GRC insight dashboards for key stakeholders (e.g., top management, risk manager, risk owner, compliance team, internal audit team).
- Support User Acceptance Testing (UAT) and troubleshoot issues to ensure a smooth transition to production environments and system readiness.
- Provide ongoing support for GRC implementations, resolve issues, fine-tune systems to meet business and compliance needs, and monitor performance to recommend optimizations for continuous improvement.
- Create and deliver comprehensive documentation for system configurations, testing, user guides, and prepare regular reports on system performance, issues, and enhancements, ensuring the resource can effectively manage and deliver GRC project deliverables.
Requirements
- Bachelor’s degree in finance, Accounting, Information Systems, Risk Management, or related field.
- GRC Platform certifications (e.g., Archer, ServiceNow, MetricStream, Bwise, IBM Open Pages) are highly preferred.
- Relevant certifications (e.g., CPA, CFA, GRCP, CRM, CRISC, CISA, CISM) are highly preferred.
- 5+ years of extensive experience in Risk Management & Compliance, BCM, Third-Party Risk Management and Audit Management within the banking or financial services industry.
- Hands-on experience in implementing, configuring, and managing GRC platforms.
- Fair understanding in banking products and overall banking processes.
- Strong understanding of global and local regulatory requirements such as Bank of Thailand (BOT), MAS, ISO 27001, Basel, COSO, IIA and related financial compliance frameworks.
- Experience in GRC consulting or professional firm or project management roles is highly preferred.
- Hands on experience of GRC processes configuration and automation within GRC platforms, including but not limited to access control, workflow configuration, reporting, and dashboard creation.
- Hands-on experience integrating GRC platform with various systems (e.g., ERP, ITSM, SAP, Oracle, JIRA) using multiple integration methods, including REST/SOAP Web Services, API-based integrations, flat file transfers, and middleware solutions.
- In-depth knowledge of HTML, CSS, and XML, with experience in applying these technologies for system customization.
- Experience in installation, upgrading, and maintaining infrastructure for GRC platforms, ensuring optimal performance and system stability.
Benefits
- health insurance
- professional development opportunities
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Tech skills
Location requirements
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