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Job Purpose
To assist Head of Strategic Compliance in performing compliance functions and implement and monitor compliance programme on group-wide basis. This includes group oversight on reporting and escalation of compliance matters to Senior Management and Board.
Responsibilities
Group Oversight - Compliance Monitoring and Reporting
- Coordinate escalation, fact finding and investigation of regulatory non-compliance/ breaches, with business/support units.
- Review complaints incidents towards determination of regulatory non-compliance/ breaches.
- Prepare the periodic compliance report for Group Management Committee, Group Board Compliance Committee and Board of Directors on Group Compliance functions, including in particular regulatory non-compliance /breaches.
- Provide advisory and point and act as point of reference to the group on compliance and governance issues/matters including interpretation of laws, regulations and Group Compliance processes.
Group Compliance Governance, Policy and Procedures
- Act as relevant policy owner in respect of policies, procedures and internal control documents owned by Group Compliance - Strategic Compliance.
- Support the development of compliance framework, policies and procedures covering all aspects of compliance functions and processes at the division level and group-wide level.
Centralised Liaison with Regulators or External Bodies
- Centralised liaison and coordinator for communication with Regulators, law enforcement agencies, banking associations and external bodies.
- Review and monitor communication between Affin and Regulators.
Secretariat for Compliance-related Management & Board Committees
- Provide support to team members who act as secretariat to the Management & Board Committees.
Compliance Culture, Awareness, Training & Skillset Development
- Coordinate compliance roadshows and campaigns Bank/Group-wide.
- Facilitate/ coordinate relevant training for compliance staff as well as other staff on compliance related matters.
Ad-hoc Duties
- Perform other duties as and when instructed by the Head of Strategic Compliance (Head of Department) or Head of Division (Group Chief Compliance Officer).
- Propose any other functions and/or tasks to be carried out that is deemed important to improve the effectiveness of the department/division.
Job Requirements
- Possess a degree in Finance, Economics, Business, Law, Accounting, Actuarial Science or other relevant fields.
- Minimum 5 years working experience in regulatory compliance or fresh graduates with exceptional analytics and writing/ report writing skills.
- Relevant certifications are an added advantage.
- Excellent oral and written communication skills in English with strong presentation skills.
- Independent, self-motivated, resourceful and excellent interpersonal skills.
