Job Description

1. Serve as the department/ branch primary point of contact to provide advice or guidance to the respective department/ branch and coordinate on compliance and operational risk-related matters including regulatory compliance, AML/CFT/CPF, sanction compliance, fraud and Anti-Bribery & Corruption Risk Management, business continuity management, new product development and complaint handling management.

2. Be the lead in executing operational risk management activities of the respective business/ i.e. assisting the Head of business/ function to implement the specific operational risk requirements according to the policies and procedures of the bank/ Group which but not limited to implementation of risk point identification, operational risk assessment, key risk indicator (KRI) application, operational risk incident reporting and continuity requirement.

3. Review/ supervise the operational risk exposure and control implementation in business/ function (if required).

4. Assist HOD in communicating and implementing operational risk management policies and procedures.

5. Extend full cooperation in attending to request on provision of information/ documents/ records, freezing of accounts etc. based on order received from Law Enforcement Agency or regulatory

KEY RESPONSIBILITIES as Department Compliance Representative (DCR) for BOCM in regard to Operational Risk Management (ORM)

6. Propose/ develop specific KRI (and its threshold) with Head of business/ function - if warrant in consultation with Legal, Compliance & Operational Risk - LCO).

7. Examine and inspect to ensure that the information provided in the operational risk management tools by the business/ function such as KRI, operational risk self-assessment and operational risk incident is complete, true and fair status of the business/ function.

8. Monitor timely closure of action point/ rectification by the relevant stakeholder of the business/ function before the agreed due date for issues/ observations highlighted by internal/ external or LCO. Assist the business/ function to seek relevant extension in timeline in closing the

agreed action points (where required).

9. Assist HOD in ensuring effective implementation and communication of regulatory and internal requirements, including annual review of the department's policies and procedures.

10. Collaborate with CD to implement compliance risk assessment tools for identifying compliance reputation risks of the department/ branch; coordinate periodic and ad hoc attestations by parent bank, internal policies and regulators.

11. Timely escalation, investigation and management of potential or actual compliance, legal, reputation risk incidents.

12. Assist in following up on the department/ branch's remedial actions from compliance/ legal/reputation risk incidents, audits, reviews and customer complaints, and validate completion of actions.

13. Assist the head of business/ function in promoting operational risk management culture in the business/ function and develop appropriate operational risk management training program suitable for the business/ unit, so as to enhance the operational risk management awareness and knowledge of employees at all level.