AVP, Business Compliance
1 week ago
Job Description - AVP, Business Compliance QX)
AVP, Business Compliance QX )
The role will be responsible to work with CFS R&P – Risk, Governance and Conduct (RGC) team to establish appropriate compliance and policy governance within CFS division, providing independent compliance gap analysis and advisory as well as review of key policies and procedures.
- You will be responsible for:
Review and provide independent compliance gap analysis for BNM Policy Document (PD), Exposure Draft (ED), BNM CEO Letter (or any other equivalent documents issued by BNM or equivalent such as Securities Commission, PayNet, etc). - Engage and to work in collaboration with the business unit in order to develop action plan for control processes in addressing the regulatory requirements upon gap analysis conducted.
- Disseminating regulatory updates and correspondences on a timely basis.
- Provide advisory on new / amendment on regulatory guideline, including guidance to business unit.
Assess, report, and coordinate all regulatory breach incident, including follow up for action plan closure. - Promote regulatory awareness and to identify training needs within CFS.
- Review CFS document including but not limited to business initiatives, process change and system enhancement request.
- To assist in developing, writing and implementing policies and procedures for CFS business unit.
- To assist in strategize, contribute and taking responsibility of the workplan for areas of policies expertise.
- To drive the risk and prevention culture towards CFS business unit.
- Leading, managing and involve in projects and adhoc assignment.
- Drives improvement of account opening process for CFS.
- Act as CFS Personal Data Protection Act (PDPA) Representative - provide advisory and manage Certificates of Registration at branch.
- Work closely with stakeholder to drive conduct initiatives from time to time.
- Support and prepare for various Risk & Regulatory dashboards
- Develop and maintain good relationship with all stakeholders.
• Education level: At least degree level or equivalent education or experience.
• At least 7 years working experiences and knowledgeable in CFS products, services, process and its applicable Regulations and Act. Knowledge in Retail Compliance Advisory, AML and/or Operational Risk Management will be an advantage.
• Proven ability to work effectively in a policy or regulatory environment.
• Ability to build effective internal and external stakeholder relationships including demonstrated networking and negotiation skills and ability to manage working groups.
• Pleasant personality with good working attitude, able to work independently and has sense of urgency and able to work within tight deadlines and able to multi-task independently with confidence.
• Good written English skill with ability to research and write accessible, clear policy or procedure documents for a range of audiences.
• Good communication skills, with ability to communicate effectively at all levels of seniority, including ability to convey complex information in an accessible way.
• Able to manage projects, weigh up conflicting demands with minimal supervision.
• Able to work effectively as a member of team.
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