Manager, Compliance Assurance

1 week ago

Kuala Lumpur, Kuala Lumpur, Malaysia Hong Leong Bank Full time
If you are looking to excel and make a difference, take a closer look at us

Job Summary:


Incumbent is responsible to independently review the Banking Group's existing processes and to provide advisory and solutions to ensure compliance to regulatory requirements.

Act as an independent unit to review and detect regulatory non-compliance by the Business and Support Units for local and overseas operations.


Key Responsibilities & Accountabilities:

  • Lead the Regulatory Assurance review team in ensuring full execution of field work and report closure for reviews under Compliance Assurance Plan.
  • Assist Head of Compliance Assurance in the formulation of annual Compliance Assurance Plan which includes refresher of Compliance Risk Assessment ("CRA") and implementation of several assurance tools under Compliance Review such as Compliance Independent Review ("CIR") and Compliance Self-Assessment ("CSA").
  • Finalise Management reporting for Senior Management and Board on the results of the compliance risk assessment undertaken, highlighting summary of incidents of noncompliance and key changes in the compliance risk profile as well as areas where greater attention is needed.
  • Provide recommendations of corrective measures to be adopted by Business Units ("BUs") where internal control to address regulatory requirements and continuous monitoring of progress of corrective measures by BUs.
  • Design/enhance and execute the Compliance Self-Assessment ("CSA") for BUs to perform assessment on regulations applicability and validate their management of compliance risk according to particular rules and regulations.
  • Lead the engagement and establish partnership with stakeholders across business and support units for business growth and success. Constantly engaging stakeholders on their key processes with regulatory impact. Report and follow up with the results of the review, gaps and areas of improvement, track and ensure closure of issues.
  • Lead and provide guidance to team members to perform the review and other assurance tools effectively and efficiently.
  • Assist in submission of relevant regulatory compliance reports to regulatory bodies on compliance matters.

Job Requirements:

  • Minimum of 8 years' managerial experience in a banking and financial Institution with specialization in compliance and/or audit.
  • Knowledge of legislative aspects/regulatory requirements of banking and financial institutions and banking products is a must.
  • Familiarity with auditing standards and principles.
  • Compliance Review process applicants are encouraged to apply.
  • Fluency in oral and written English language is essential while good command of Bahasa Malaysia is advantageous.
  • Demonstrated ability to effectively communicate, both orally and in writing, through all levels of the organization.
  • Possess analytical and critical thinking. Attentive to details and possesses investigative nature.
  • Strong team spirit player with a positive attitude and having the drive to improve processes.
  • About Hong Leong Bank_
  • We are a leading financial institution in Malaysia backed by a century of entrepreneurial heritage. Providing comprehensive financial services guided by a DigitalattheCore ethos has earned us industry recognition and accolades for our innovative approach in making banking simpler and more effortless for our customers. Our digital and physical offerings span across a vast nationwide network in Malaysia, strengthened with an expanding regional presence in Singapore, Hong Kong, Vietnam, Cambodia, and China._
  • We seek to strike a balance between diversity, inclusion and merit to achieve our _
- mission of infusing diversity in thinking and skillsets into our organisation._
- are assessed based on merit and potential, in line with our mission to attract and recruit the best talent available. _

  • Expanding on our "Digital at the Core" ethos, we are progressively digitising the employee journey and experience to provide a strong foundation for our people to drive lifelong learning, achieve their career aspirations and grow talent from within our organisation._

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