Manager - Personal Financial Services (Business Compliance)

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. Lead the implementation of the Compliance frameworks, review and update policies and procedures to comply with legal and regulatory requirements for respective business units within PFS, as well as internal standards and guidelines.
. Manage Compliance Assurance and Compliance Control & Monitoring matters, includes Compliance Self-Assessment (CSA), Compliance Independent Review (CIR), mystery shopping, CSAT Sales Compliance Survey, Sales Surveillance Monitoring, BNM Review and Review on implementation of relevant new legislation & regulation to business units within PFS.
. Key liaison with Group Compliance team regarding Compliance Assurance and Compliance Control & Monitoring matters.
. Drive and facilitate a culture of compliance across respective business units within PFS.
. Develop and implement a plan for checking the compliance controls of all business units within PFS.
. Provide advisory to business units within PFS in relation to Compliance Control & Monitoring and Compliance Assurance matters on product and/or sales governance.
. Drive Business Units/Sales Channels to ensure all relevant new legislation and regulation on sales governance is implemented in a timely manner, includes validate gap analysis performed by business units and follow up until closure of gaps identified.
. Overall responsibility for completion of CSA on sales governance for all business units within PFS, includes validate the CSA performed by business units and follow up until closure of gaps identified.
. Key liaison with Group Compliance and Business Units/Sales Channels to ensure all independent reviews on sales governance is implemented in a timely manner, include follow up until closure of gaps identified.
. Perform review or validation of the quality of work including identification of gaps and potential areas for improvement based on the area assessed.
. Drive initiatives to revise existing internal processes and/or adopt new processes to comply with new regulatory requirements, where necessary.
. Assist with the coordination of any regulatory information requests on sales governance, including BNM Review and meetings with audits.
. Assist GM/Head of PFS Compliance in oversight or coordinate of governance committee (i.e. RCGC or FCGC) matters, issues and events that may have significant regulatory, reputational or financial impact towards meeting business objectives, where required.
. Establish and share best practice, with reference to competitor benchmarks as appropriate.
. Work with relevant stakeholders to derive cross functional compliance related policies and standards.
. Build a close working relationship with respective Business Unit / Business Heads, Group Compliance, Group Risk, Group Support Services (including legal), Group Internal Audit, other business units and functions where relevant, in the implementation and enforcement of policies and guidelines.
. Build a close working relationship with Group Compliance, as well as Hong Leong Islamic Bank to help ensure compliance with Shariah requirements where necessary.
. Lead the compliance projects initiated by Group Compliance, where necessary.