Assistant Manager, Icimb

Scope of the Role
1. Responsible to support the management of operational risk and regulatory risk for units under purview in
Group Operations MY as stated in the appointment letter.
2. Execute operational risk framework with the support from HOD/RCS as per Group Non
- Financial Risk
Management (“GNFRM”) & Group Compliance (“GC”) requirements for to meet desire validation score for
Group Operations as a whole.
3. For external regulatory examination: the DCORO is responsible to support the HOD/RCS in addressing all
concerns and requirements of regulators with respect to risks within their functional area of responsibility.
4. Perform advisory role to the HOD in term of risk and compliance matter.

Key Responsibilities
Analysis of gaps and Improvement of Control Environment
1. Review and perform analysis and highlight gaps/concerns or area of improvements for unit under purview.
2. Ability to articulate clearly the gaps/concerns to stakeholders/HOD and proposed attainable and operational
efficient operational solutions.
3. Actively participate in risk initiative/plans and strategy to improve the control environment for unit under
purview.

Initiate strong operational risk management practices
1. Ensure that the GC and GNFRM Policies and Procedures, laws/regulations/guidelines (including any updates),
are communicated, to all staff within the units under purview.
2. Ensure internal Policies and Procedures and/or Standard Operating Procedures are updated by business unit
under purview to address laws/ regulations/ guidelines issued, wherever relevant/ applicable;
3. Review and follow-up on any non-compliance (regulatory and operational) issues escalated within the
respective units under purview for appropriate closure;
4. Execute the operational risk framework of the bank as per GNFRM policy and procedure and ensure data is
accurately recorded in a timely manner in the SHARP system for reporting and record purpose. of record
5. For control gaps/ regulatory gaps/ compliance controls weaknesses identified, obtain agreement with unit
responsible to ensure action plans (Control Issue Management - CIMs) are appropriate, prioritized,
sustainable and that action plans are closed by the committed due date.
6. Work with business unit under purview and RCU, carry out the implementation of the RCSA and ensure that
the CET is updated and complete with the relevant processes / requirements / laws/ regulations/ guidelines
and tested accordingly.
7. Support HOD in monitoring management reports which may include in-flight projects, operational matters,
manpower capacity, staff performance, etc. to identify areas of potential risk concerns and to assess actions
to tackle the issues, e.g. conduct deep-dive investigation, escalate to HOD / RCU, advise process owners to
remediate, etc.
8. Support HOD and RCU in assessing whether GPOC, FSD, BRD and other potential process change documents
in the Bank may impact the operations and to advise actions to be taken
9. With the support from RCU, provide on-going compliance and operational risk awareness training as
required.
10. Provide guidance as needed to support the business in meeting their risk objectives
11. Complete and support any ad-hoc (non-SLA-related operational / transactional) tasks assigned by supervisor,
e.g. BCM, DRP, OSH, ERT, etc.
Initiate strong compliance management practices
1. Ensure that the GC and GNFRM Policies and Procedures, laws/regulations/guidelines (including any updates),
are communicated, to all staff within the units under purview.
2. Ensure internal Policies and Procedures and/or Standard Operating Procedures are updated by business unit
under purview to address laws/ regulations/ guidelines issued, wherever relevant/ applicable;
3. Review and follow-up on any non-compliance (regulatory and operational) issues escalated within the
respective units under purview for appropriate closure;
4. Discuss with and obtain approval from the HOD and RCU before escalating and reporting the regulatory noncompliance
issues;
5. Support RCU to effectively implement and execute all the policies and procedures owned by Group
Compliance within the division/department/branch to achieve sound compliance risk management
practices and reporting
6. Support RCU in performing gap analysis for the new and/or updated legal and regulatory requirements and
take appropriate action to closed the identified gaps.
7. Support RCU to effectively identify, manage and monitor compliance risk within the div./dept. using
compliance risk tools
8. Conduct compliance controls self-testing in accordance to the methodology documented in Group
Compliance Policy and Procedures, Group AMLCFT and TFS Policy, Group Sanctions Policy and Procedures,
Group Watchlist Policy and Procedures.
9. For control gaps/regulatory gaps/compliance controls weaknesses identified, obtain agreement with unit
responsible to ensure action plans (Control Issue Management - CIMs) are appropriate, prioritized,
sustain