Manager, Icimb

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.
- 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.
- 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.
- Perform advisory role to the HOD in term of risk and compliance matter.

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

Initiate strong operational risk management practices
- 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.
- 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;
- Review and follow-up on any non-compliance (regulatory and operational) issues escalated within the respective units under purview for appropriate closure;
- 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
- 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.
- 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.
- With the support from RCU, provide on-going compliance and operational risk awareness training as required.
- Provide guidance as needed to support the business in meeting their risk objectives
- Complete and support any ad-hoc tasks assigned by supervisor.

Initiate strong compliance management practices
- 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.
- 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;
- Review and follow-up on any non-compliance (regulatory and operational) issues escalated within the respective units under purview for appropriate closure;
- Discuss with and obtain approval from the HOD and RCU before escalating and reporting the regulatory non-compliance issues;
- 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
- 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.
- Support RCU to effectively identify, manage and monitor compliance risk within the div./dept. using compliance risk tools
- 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.
- 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.
- Support RCU and unit under purview in internal/external audits or GC reviews.
- Obtain the Compliance Declaration Form from new employees (as and when they join) within the units under purview and retain the same for review by Group Compliance/GIAD/ regulators as and when they deem fit;
- Complete and support any ad-hoc tasks assigned by supervisor.
- To act as the liaison in relation to all compliance related matters within the Division/ Department;
- To carry out the implementation of the RCSA programme within the Division/Department, and ensure that the RCSA is updated with the rele