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Risk Control Specialist

1 month ago

Kuala Lumpur, Kuala Lumpur, Malaysia CIMB Full time

CIMB Federal Territory of Kuala Lumpur, Malaysia

  • Support and ensure the Division/Department maintains an adequate and effective first line of defense risk management program.
  • Assist the Business and Support Management to achieve full adherence with all banking laws, rules, regulations and internal policies, procedures and processes.
  • Support the effective execution of the operational risk and compliance throughout the Bank/Group, with respect to identifying, quantifying, reviewing, evaluating and measuring risk to ensure that all compliance and risk categories are identified and managed in accordance with regulatory, internal policies and procedures requirements.
  • An independent staff assigned by business / function (not involved in the execution of the control) to perform the Controls Effectiveness Testing ("CET") in SHARP.
  • Independent testing and execution of CET for portfolio assigned to the tester.
  • Execution of the testing as per testing procedures and requirements for assigned portfolio.
  • Execute testing as per Group Non- Financial Risk Management ("GNFRM") & Group Compliance ("GC") requirement for CET testing to meet desired validation score.
  • Support and work closely with RCS to support ad hoc thematic/deep dive reviews on processes and controls for assigned portfolio.
  • Perform review of CETs and to provide recommendation for improvement of the testing processes as well as RCSA.
  • Work closely with DCOROs to ensure completeness of the RCSA refresher and to update the RCSA on an ongoing basis.
  • Monitor/guide and provide training to the junior testers in terms of RCSA and CETs. (Applicable to Manager/AM)
  • Plan/execute and communicate the objective/conclusion of the ad-hoc reviews to stakeholders.
  • Perform validation of the testing conducted by Testers to ensure meeting the validation and testing objectives
  • Support and assist the DCOROs in performing their task mainly on SHARP related matters as necessary.

Key Responsibilities:

Operation Pillar/Process Centric Diversification

  • Tester to gradually learn and take on new task/assignment related to other Operations pillar/Process as part of our effort to build a team of skilled testers with knowledge on various products.
  • To review, identify and analyse trends on results and gaps noted for portfolio assigned as and when required and recommend relevant controls for improvement to RCS for further assessment.
  • Understand the process assigned and conduct assessment on the adequacy of controls and to identify gaps to come out with proposed improvement to RCS and thereafter to Process Owner/HOD for rectification.
  • Testers are to validate the completeness and accuracy of the RCSA in terms of Risk/control/test procedures

Initiate Strong Operational Risk And Compliance Management Practice

  • Understand the requirements of CET as per testing procedures.
  • Execute review and testing of RCSA/CET as per requirements and highlight gaps (findings) and areas of concerns or improvements to RCS for further investigations.
  • Ability to communicate and articulate issues/ gaps noted from the CET testing performed with RCS and engage with DCOROs for rectification
  • Complete testing requirement as per testing schedule to ensure compliance with stipulated deadline.
  • Adherence to policy and procedures in performing CET testing as set by GNFRM and GC.
  • Perform additional sampling as and when required or instructed to further assess on the CET results depending on frequency of testing required (Monthly /Quarterly / Yearly).
  • Ensure all evidence of sampling are available as and when required by independent reviewer.
  • Ability to defend by providing evidence and support results of testing completed/submitted as and when required.
  • Work with RCS to improve the testing procedures to enhance the control environment for the unit assigned.
  • Perform Operational Checking using the Operations Checklist requirement.
  • Assist in ad hoc thematic/deep dive reviews on processes and controls for assigned portfolio by performing sample review.
  • Inquisitive when performing testing and reviews to ensure sufficient coverage of processes and controls.
  • Seek clarity and advise on risk and control related areas as and when required when performing testing.

Employee Engagement And Development

  • Comply with HR performance processes and meet internal Risk Controls Tester KPIs
  • Complete the required training assignment and ensure solid understanding of the framework, tools and system.
  • To involve in training for growth oriented; skills knowledge in risk & controls development.
  • Engage with HOD/Process Owner/Stakeholder to communicate expectation/objective of review.

Job Specifications:

  • Bachelor's Degree or Professional Qualification in the relevant discipline (Accounting/Finance/Business).
  • Minimum 4-7 years work experience with relevant experience of a risk/audit/compliance/legal related role and of working within the relevant business/function preferred.

Technical/Functional Skills

  • Knowledge and understanding of banking operations including operational processes and services and regulatory requirements.
  • Experience in audit / risk management / compliance and / or banking operations preferred.
  • Good knowledge in MS Office.

Personal Skills

  • Good communication skill in English both verbal and written.
  • Basic knowledge on risk and control related matters.
  • Able to adapt well to changing demands and multi-task effectively.
  • Able to work independently.
Seniority level
  • Associate
Employment type
  • Full-time
Job function
  • Accounting/Auditing, Finance, and Consulting
  • Industries
  • Banking and Financial Services
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