Associate Director, Designated Compliance

6 days ago

Kuala Lumpur, Kuala Lumpur, Malaysia CIMB Full time

Responsibilities:

  • Identify business changes and, where appropriate, coordinate and prepare the required analysis to review such changes, ensuring proper mitigating controls are in place.
  • Support GWB CIBC in risk identification, escalation, and remediation.
  • Recommend improvements to enhance the quality of internal controls and risk mitigation measures.
  • For operational risk-related matters, formulate, implement, or review action plans for BUs to address control gaps, regulatory gaps, or identified control weaknesses.
  • Review and implement relevant internal policies, procedures, and/or standard operating procedures, ensuring they are updated to reflect applicable laws, regulations, and guidelines.
  • Participate in the bank's Risk & Control Self-Assessment (RCSA) program.
  • Facilitate the capturing of key compliance and operational risk events, gaps, and risk mitigation actions as the Maker, in the form of Control Issue Management (CIM) or Lost Event Data (LED) via the GRC system, and support the validation process by the Risk Control Unit.
  • Drive and participate in operational risk-related projects as required.
  • Ensure compliance with Group Compliance (GC)'s policies and procedures.
  • Support gap analysis for new and/or updated regulatory requirements and drive appropriate actions to close identified gaps.
  • Support GWB CIBC during audits and thematic reviews conducted by internal and external stakeholders.
  • Provide guidance during the Customer Due Diligence process to relevant stakeholders and facilitate communication with subject matter experts, such as Group Compliance, where required.
  • Act as a business liaison for compliance-related matters within GWB CIBC, including but not limited to AML/CFT, sanctions, foreign exchange policy, and connected party regulations. Provide guidance to support the business in meeting its risk objectives.
  • Drive and participate in compliance-related projects as required.

Requirements:

  • Degree in Business or Banking/Financial Services-related discipline.
  • International Compliance Association (ICA) certifications such as Advanced Certification in Anti-Money Laundering / Counter Financing of Terrorism (ACAM), Advanced Certification in Regulatory Compliance (ACRC), Certified Internal Auditor (CIA), etc., would be an added advantage.
  • Minimum of 10 years' work experience, preferably in regulatory compliance, First Line of Defense risk & control, or internal audit within a financial institution.

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