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JOB PURPOSE
Compliance Executive responsible for providing assistance and support in handling daily tasks related to compliance and operational risk, which is limited to risk-taking activities which involve decision making, enforcement as well as “maker” and “checker” functions within Group Treasury Division.
ACCOUNTABILITY
List the responsibilities that must be achieved and major activities that are to be carried out in order to achieve the key result areas.
1. Sharing Information
- Assist BRCM/DRCO to ensure all staffs in Group Treasury are informed and updated with the latest information in legal, regulatory, policy and procedure from regulator or within the Bank.
- To assist BRCM/DRCO in ensuring that all personnel within Group Treasury are understand and in compliance with the rules and regulation set by the Bank and the regulator.
2. Compliance Officer
- To ensure all report from business unit and other department within the Bank are recorded and documented for the purpose of compliance review (SRR & iLink, Projected & Monthly LCR, CAM Paper, ROMS Report, REPO, iPD, User Access Matrix, etc).
- To liaise with the admin staff in updating and keep record for the authorised dealer list, exit list, staff declaration, mandatory leave, etc.
- To assist BRCM/DRCO in FEA Attestation in quarterly basis.
- To assist BRCM/DRCO in checking the Credit Transaction and Exposures with Connected Parties Checking received from the Business Financial Service.
- To assist BRCM/DRCO in checking and keep the document for the CDD on-boarding client.
- To act as maker in completing the clean desk report, non-compliance event and communication surveillance among the dealers on monthly basis.
- To perform the AML/CFT screening for the Business Unit (CAM Paper or Booking FX, etc).
- To assist BRCM/DRCO in assisting the Treasury Business Report for every month.
- To draft any update in the Group Treasury Guideline and the Group Treasury Code of Conduct.
COMPLIANCE
1- Compliance Matrix
- To assist BRCM/DRCO in collecting data and information for the compliance matrix (CMax) in every quarter according to the Group Compliance requirement.
- To assist BRCM/DRCO in the Compliance Self Assessment Report based on the data collected.
- To get the information from HR for the Compliance Training Report as part of the Cmax.
2- Gap Analysis
- To assist BRCM/DRCO in the process of Gap Analysis required by the Group Compliance.
3- Compliance Review
- To assist BRCM/DRCO in providing the document and information for the Group Compliance Quarterly Review.
RISK
1- RCSA
- To assist BRCM/DRCO in conducting the RCSA for every quarter.
2- KRI Reporting
- To perform as maker to the KRI Reporting in the GCM System.
- To ensure all information related to off-premises trading, buy sell and near fraud miss are checked, recorded and documented.
AUDIT
Liaise with Business Unit and Audit Team
- To assist BRCM/DRCO in providing the documents or record for internal or external audit upon request.
- To ensure all documents and information are recorded.
COMPLAINT LIAISON OFFICER (CLO)
1- Complaint Liaison Officer
- To liaise with Customer Care & Quality (CCQ) in ensuring all complaint is handled and resolved in timely manner
- To provide any information from Group Treasury Division for CCQ to resolve the complaint.
KEY DECISION
List the data which will reflect the scope and scale of activities concerning your job.
To act as maker to the following task:
i Quarterly Compliance Monitoring Matrix (i.e. CMax)
ii Monthly Treasury KRI reporting
iii RCSA Framework and yearly review
iv Communication Surveillance
v Regulatory Advisory
SKILLS, KNOWLEDGE & PERSONAL CHARACTERISTICS & BEHAVIOUR
List the acceptable entry level requirements for the job, in terms of:
QUALIFICATIONS & EXPERIENCE
1. Degree in various discipline. Those with background in Law or Professional Certification in AMLCFT or related would be an advantage.
SKILLS & KNOWLEDGE
1. Treasury Product Knowledge
2. Sufficient banking product knowledge
3. Analytical thinking
4. Fast and sharp thinking skill
5. Risk & Compliance adverse
6. Leadership skill
7. Effective communication skill
8. Interpersonal skill
9. Microsoft office- ie. words, excel and powerpoint
10. Presentation skill