AVP, Compliance Monitoring

Job Description

· To prepare the Compliance Review Planning Proposal prior to each review to determine the objective, scope and resources for the review.

· To establish a Compliance Review Program/Checklist as appropriate

· To lead and/or conduct compliance reviews based on the approved Compliance review plan and/or ad-hoc reviews as and when requested by the Senior Management/Board or Regulators

· To ensure compliance reviews are completed timely and escalate compliance findings to the Senior Management as appropriate

· To follow-up on outstanding compliance findings to ensure effective resolution

· To provide constructive recommendations to the Business/Support units to improve on the internal controls and compliance risk awareness where appropriate

· To provide periodic updates on review status to the Senior Management and keep them informed of any issues highlighted from those reviews.

· To prepare and/or update on the Compliance Risk Assessment Scorecard by Entities and Branches

· To participate in or undertake special projects involving validation and tracking of regulatory compliance requirements and compliance monitoring and testing activities as and when required.

· To assist Head, GCM on any ad-hoc compliance review-related projects/requests

Job Requirement

· Possess a Professional Qualification or Degree in Finance, Economics, Law or other relevant discipline.

· At least 8 years of related compliance, auditing and risk management experience preferably in a financial institution.

· Knowledge in banking operations and products

· Resourceful, analytical and able to contribute to continuous process improvement

· Possess risk and control mindset

· Possess good communication and interpersonal skills

· Possess good report writing and problem solving skills

· Meticulous, proactive and able to work independently

· A good team player

· Willing to travel for branch reviews