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Compliance
- To compile all units monthly, quarterly, half-yearly and yearly compliance report for submission
- To compile ad-hoc compliance report, incident, and request from AQM Compliance unit head and Consumer Compliance/Compliance Monitoring or any other business entity.
- Assisting as a gateway when need arises with government agencies/regulator such as LEA / Regulated external party
- Review AQM's Standard Operating Procedures (SOP) and ensure SOPs align with regulatory requirements and compliance standards.
- To attend to Matched Mule Account Listing (when in need) and distribute to all business units.
- To prepare and circulate internal circulars and guidelines.
- To prepare and perform quarterly clean desk exercises and call tree plan.
- To prepare E-Acknowledgement for internal circulars, guidelines, policies and circulate to all AQM, KBC staff.
- To raise STR and AML Reporting when necessary.
- To review business units processes.
- To conduct voice witness checking on monthly basis.
- Maintain up-to-date knowledge of relevant regulations and industry best practices, including those set by BNM.
- Advise and support other departments on compliance matters and best practices.
- Participate in the continuous improvement of AQM's compliance program. 15. Collaborate with Consumer Risk & Compliance/Group Compliance to monitor and maintain adherence to all relevant financial regulations, BNM requirements, and internal policies.
- Respond to requests for information or clarification from Group Compliance, Internal Audit & other stakeholders including request from government agencies.
- Assist in the development and implementation of AQM's compliance program, including training and awareness initiatives.
- Assist in the preparation of documentation and data for internal and external audits/reviews related to AQM's compliance and operations.
- To assist in monitoring and compiling documents to be submitted to Compliance Department and Operational Risk Management (ORM).
- To prepare yearly BCP & RA/BIA, SOJT and Live Test Documents for activation of Call Tree Exercise for review by unit head.
- To prepare and compile SOJT for training, ad hoc SOJT compliance reporting and assist preparation of Specific and Generic Risk Control Self- Assessment when necessary Back-up Coordinator for BCP.
- Back-up for OpRisk reporting. Ensure vendor compliance with relevant laws, regulations, and company policies, particularly related to data privacy and consumer protection.
- Maintain accurate and up-to-date records of vendor contracts, performance data, and other relevant documentation.
- Support compliance audits of vendor operations by gathering and organizing necessary information.
Vendor Management
- Track and monitor vendor performance against established key performance indicators (KPIs) and service level agreements (SLAs).
- Collect, compile, and analyze vendor performance data, identifying trends, patterns, and potential areas for improvement.
- Develop and maintain reports and dashboards to visualize vendor performance metrics.
- Conduct regular performance reviews with vendors, provide data-driven feedback and recommendations.
- Assist in identifying and implementing strategies to optimize vendor performance.
- Conduct Site Visit on scheduled basis to Vendor's premises for physical overview on the facilities to ensure they are complied with the requirement.
- Serve as primary point of contact for vendor inquiries and requests. Facilitate clear and effective communication between vendors and internal stakeholders.
- Coordinate vendor onboarding and offboarding processes, ensuring smooth transitions.
- Proactively communicate updates and information to relevant parties.
- Assist in resolving vendor-related issues and disputes.
- Schedule meetings, prepare meeting materials, and document meeting minutes.
- Assist in researching and identifying potential vendors.
- Support the Request for Proposal (RFP) process by gathering information and organizing proposals.
- Participate in vendor evaluations and selection of new vendors.
- Identify opportunities for process improvement in vendor management.
To attend to any other assignment given by the Manager/Superior from time to time.
