Compliance Officer, GC

2 days ago

Malaysia CIMB Group Full time 60,000 - 120,000 per year
Description

Compliance Monitoring Review

  • Lead compliance monitoring reviews (e.g., thematic review, peer review, control validation exercise, quarterly control effectiveness testing [CET] validation), including preparation of review scope, execution of fieldwork, monitoring of team members' work, and identification of control lapses or areas for improvement.
  • Utilise data analytics to support compliance reviews, including exploring data and developing or revising scripts, criteria and scenarios for periodic monitoring of high-risk or emerging risk areas, performing data validation, and providing post-implementation and ongoing support for data scripts monitoring.
  • Prepare reports and presentations for senior management on compliance monitoring related matters. 
  • Monitor and ensure timely closure of identified issues.
  • Continuously enhance the monitoring and testing program in response to changes in internal and external environment. 
  • Review and challenge risk assessment results and action plans provided by respective business compliance teams and regional entities, where appropriate. 
  • Identify and recommend enhancements to existing compliance processes and methodology. 
  • Provide oversight and support to regional entities, including risk assessment, review planning, reporting, and CET validation.
  • Work closely with internal and external stakeholders to establish industry best practices and regulatory expectations. 
  • Stay informed on business operations, regulatory developments, and supervisory expectations.
  • Analyse audit and compliance issues to identify hot spots and emerging risks requiring immediate action.

Engagements with Stakeholder & Management

  • Support the Group Chief Compliance Officer and senior stakeholders to achieve CIMB Group's   overall business and strategic objectives.
  • Promote cross-regional collaboration by sharing best practices and identifying business synergies.
  • Be a role model and drive activities to encourage and build desired organisational culture, values and reputation in the Group with all staff, customers and regulatory/official bodies.

People Management

  • Train and guide team members to foster a culture of teamwork and continous improvement within the Compliance Monitoring team.

Other Responsibilities

  • Perform any other tasks or responsibilities assigned by management from time to time.

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