Senior Executive / Executive - Compliance (Secretariat & Breach Reporting)

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Overview

The incumbent is responsible to support the team lead in formulating, developing and driving the Group's initiatives and activities in line with the Group's strategic direction, regulatory and global standards to ensure compliance with applicable local and foreign laws, rules, regulations, guidelines and standards governing the Group's domestic and international operations.

Job Responsibilities

Secretariat Function

• Co-ordinate and follow-up on the reports from the various departments within the division

• Consolidate submissions to the secretariats of Risk and Compliance Governance Committee (RCGC), RCGC-i, Board Risk Management Committee (BRMC), Board Audit Risk Management Committee (BARM) and Hong Long Financial Group

• RCGC secretariat on a rotational basis by organizing and scheduling RCGC meetings

• Prepare and distribute agendas, minutes and board papers.

• Undertake review of the RCGC Terms of Reference

Breaches Reporting

• Centralized unit to receive escalation of plausible non-compliance incidents / breaches

• High-level review of escalations received

• Track and follow-up on all escalations to ensure that the finalized report of the non-compliance incidents / breaches are presented to the senior management and board committees, and submitted to the regulators where necessary

• Coordinate and follow up on monthly NIL breach reporting from various departments

• Consolidate from various divisions and submit number of breaches from regulators other than Bank Negara Malaysia as required under the Operational Risk Integrated Online Network (ORION) Policy Document

• Assist Team Leader in any ad-hoc tasks whenever required.

Job Requirements