Senior Compliance Manager

1 week ago

Petaling Jaya, Selangor, Malaysia Boardroom Corporate Services Sdn Bhd Full time 60,000 - 120,000 per year

Function – Specific Activity

AML/CFT and ABAC

  • Ensure the Company's policies and processes are kept up to date with relevant laws, regulations and guidelines in relation to AML/CFT, Know Your Customer (KYC) and ABAC, including overseeing and implementing appropriate compliance programmes.
  • Develop or enhance compliance policies, manuals, procedures, systems and control mechanisms in line with regulations and best practices, ensure that the policies are communicated with all employees in the Company.
  • Ensure proactive and timely identification, assessment, advice and dissemination of evolving regulatory change/practices throughout the Company across the region (with a focus on Malaysia).
  • Maintain appropriate relationships with relevant regulators, authorities and independent auditors and liaise with them on audits, reporting and implementation of corrective measures.
  • Oversee the completion and submission of Data & Compliance Reports to BNM.
  • Conduct regular Institutional Money Laundering/Terrorism Financing Risk Assessments and Corruption Risk Assessments.
  • Conduct internal compliance reviews on the AML/CFT and ABAC compliance programmes to identify gaps against regulations and internal policies and recommend or implement corrective measures.
  • Establish, enforce and maintain effective processes (including training and development of appropriate supporting tools) to ensure that compliance policies, procedures and standards are effectively implemented across the Company.
  • Perform management reporting to the Board, Senior Management and Group Director, Legal & Compliance on compliance risks and issues.
  • Provides regulatory advisory on compliance-related matters to business units or member offices.
  • Undertake investigations on suspicious transactions/activities escalated to Compliance and submit STRs to BNM where necessary. Provide guidance to stakeholders concerned in regard to any follow-up actions and monitor the closure of such actions.
  • Review and provide comments on ABAC-related matters in relation to client policies, agreements, contracts, questionnaires etc.
  • Prepare training materials and provide trainings to the Board, Senior Management, new and existing employees on the Company's policies and compliance programmes.

Beneficial Ownership reporting

  • Provide advisory to business units in relation to the Companies Commission of Malaysia's (CCM) Guideline for The Reporting Framework for Beneficial Ownership of Legal Persons.
  • Provide guidance to the business units on BNM and the CCM's respective Beneficial Ownership requirements.
  • Assist business units with matters relating to the disclosure of the Company's shareholding/Beneficial Ownership information to regulators/external parties.

Risk Management

  • Support Group Risk on all Risk Management matters including manage Incident Reporting and Risk Register on the firm's Risk Management platform.
  • Support Group Risk on Group Insurance, Personal Protection and Business Continuity Management.

People Management Activity

  • Liaise with Regulators
  • Liaise with Internal and External Auditors
  • Liaise with Management
  • Liaise with Business Units
  • Report to Group Director, Legal & Compliance

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