Manager, Compliance - Securities

Primary Objectives: 

• 1.To carry out the compliance functions of the Company and provide support to departments & branches in overall Compliance related matter.
• 2.Execute the Compliance strategy, governing policy & procedures in regards to all types of Company activities

Strategy and Coordination

• Develop local strategy and compliance action plan to align with Banking Group’s AML governance framework to support the company overall business strategy and growth.
• Ensure the Company complies with relevant Acts, Laws, directives and guidelines issued by the regulatory bodies including the SECC and the CSX and the Company's internal policies and procedures.
• Carry out the Group / Company Compliance policy, practice & procedures to ensure all company activities, process, manual & guidance are in compliance with internal requirement & external regulatory governance.
• Compile documents and information required in response to queries from the regulators.

Compliance Training

• Ensure the team maintained an updated AML training materials and track completion of AML e-learning (where applicable)

Compliance Review and Monitoring

• Review, attend and ensure proper and timely closure of AML System alerts
• Evaluate and submit STR and attend to any follow-up requests from the relevant authorities
• Identify any event of non-compliance/breaches and recommend remedial action to rectify matter in an efficient and practical manner in respect to AML
• Review client complaints and follow-up on the client complaints register and ensure that all complaints are duly noted and addressed promptly.

Compliance Risk Assessment & Management

• Coordinate the Compliance Risk Assessment (CRA) and AML Risk Assessment (AMLRA) exercise for entity
• Identify, assess, monitor and report compliance risks
• Provide action plan on findings from the CRA/AMLRA

Reporting

• Report suspicious account and/or suspicious transaction to the regulatory authority
• Ensure timely submission of periodic reports by relevant departments to the regulators.
• Prepare all Compliance reporting for internal consumption or external submission within deadline.
• Prepare report to the committee upon identifying an event of non-compliance/ issues of breaches.
• Prepare all Compliance reporting for internal consumption or external submission within deadline.