Tm, Compliance Assurance Grd

2 weeks ago

Kuala Lumpur, Malaysia RHB Banking Group Full time

Working Hour
- Regular Hours
- Monday - Friday- Business Area
- Community Banking- Location
- Malaysia - Kuala Lumpur- Description

**Primary Objective**:

- Support Head Retail Risk & Compliance in identifying, investigating, handle and resolve regulatory and operational non
- compliances breaches.
- Assisting Risk Owner (Business Heads) and RRCO with the identification of key risk & compliance issues, and mitigating controls in their business unit.
- Support the implementation of all aspect of risk function, including implementation of mitigating process, tools and system by business units.
- Monitor major and critical GRB risk and compliance issues.
- Review and perform audit checks on Transaction Monitoring Alerts by ensuring quality of alerts closure.
- Identify grounds for raising Suspicious Transaction Report (STR) during reviews performed.
- Provide training and guidance on AML alerts to the Centralize CDD-ODD team.
- Prepare and review PRCAs on new and revised processes for GRB business units.
- Develop Presentation Slides and Reporting Summary for Group Retail Risk & Compliance / Group Retail BRCO at GRBC/ GCRC/ BRC etc.

**Key Responsibilities**:
Compliance:

- Maintain and support the oversight functions on all GRB business unit and branches, in market conduct, AML or any compliance issues.
- Support investigations into any non-compliance breaches in accordance with investigation procedures to determine the cause/source of the breach & subsequently to coordinate efforts to address the cause/source of the breach, and resolve potential compliance issues.
- Coordinate compliance investigation program & activities to ensure effective, appropriate & timely investigation of reports of potential non-compliance across Group Retail Banking.
- Management & Regulatory Compliance awareness to all levels of staff to promote an effective risk & compliance culture across GRB.
- Refer issues and collaborate with Retail Risk & Compliance Officers.
- Audit reviews and quality check on Investigator’s and Supervisor’s alerts closure.
- Identify ground of raising Suspicious Activity Report (SAR) by CDD-ODD Analyst as and when necessary.
- Prepare Training Materials and Presentation Reports for Senior Management Meetings
- Perform compliance checks on branches and business units in the following areas;
- Accuracy of customer’s information for residence and external accountholders, which includes inputs in CIS system
- Insufficient supporting documents for account opening
- Identity verification on Person Conducting Transactions (PCT) with cash exceeding RM25000.
- Customer’s name screening performed and 100% name matches
- Completion of Enhance Due Diligence (EDD) form
- Customer Information Form request updated timely and accurately
- Review periodical listing of customer with same contact numbers
- Review listing of newly registered entities with common beneficial owners

Risk:

- Coordinate and support GRB business units on risk and control practices and matters.
- Review and challenge risk and control assessments completed by the business lines.
- Ensure proper reporting and timely submission of periodic risk reports to Group Risk.
- Support the implementation of all aspects of the risk function, including implementation of processes, tools and systems to identify, assess, measure, manage, monitor and report risks.
- Monitor major and critical risk issues.
- Proactively supervise the permanent control, and the risk measurement, management and processes by GRB business stakeholders.
- Proactively promote risk culture and training to all GRB business units.
- Monitor and support the CRR/Audit findings (internal & external) to be resolved within agreed timelines.
- Prepare and review PRCA’s Memo, Process Map Template & Process Analysis Template and assessing the Residual Risk rating.
- Develop Presentations and Reporting summary for Group Retail Risk & Compliance / Group Retail BRCO at GRBC/ GCRC/ BRC etc.
- Requirements

**Requirements**:
Bachelor Degree - Banking / Finance / Law / Economics or equivalent..

Minimum of 3 years’ experience in Operations, Compliance and Risk, preferably within the Financial Services industry.
- Performing analysis and use of Excel/ Presentation
- Good working knowledge of banking regulations & operations.
- Good working knowledge of regulatory requirement.
- Benefits

Dental, Education support, Miscellaneous allowance, Medical, Loans, Sports (e.g. Gym), Parking, Vision, Regular hours, Mondays - Fridays, Casual Business Wear, Performance Based Rewards

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