Compliance Officer, Core Compliance

Job Purpose:

• To assist in providing oversight by ensuring compliance risk governance and regulatory compliance are in line with local regulations and best practice throughout CIMB Group.
• To assist in promoting an effective compliance risk management framework with primary focus on safeguarding CIMB Group by fulfilling the regulatory requirements.
• To support the Regional Head, Regulatory Compliance and stakeholders in the management of compliance and regulatory risk requirements.

Key Responsibilities:

• To provide support for proper implementation of the Group Compliance Policy & Procedure (GCPP) throughout the CIMB Group through the effective utilisation of compliance risk management tools and ensuring the adherence of GCPP by business units and support functions.
• To execute tasks based on operating protocols and standard operating procedures of Group Compliance for ensuring proper execution of GCPP.
• To coordinate and ensure completion of gap analysis by business units and support functions during regulatory changes. To validate the compliance control and process changes that are relevant to the applicable regulatory requirements and standards.
• To validate compliance risk data and assist in driving implementation, usage of system or data management tools.
• To assist in assessing incidents with regulatory impact, validate the root cause and action plan as part of the breach management and escalation process.
• To assist in preparation of compliance training materials or reports for senior management, board committees and/or regulators.
• Any other responsibilities/tasks as assigned by management from time to time.

Academic Qualification:

• Bachelor's Degree or Professional Qualification in the relevant discipline (Accounting/Finance/Business/Legal).

Relevant Experience:

• Minimum 6 years of experience in banking/compliance/legal/audit background in established banks/financial institutions.

Technical/Functional Skills:

• Good knowledge of banking products and services, including the rules and regulations in the domestic market.

Personal Skills (Soft Competencies [Core/Leadership]):

• Personal integrity and ethics.
• Good time management skills and ability to multi-task.
• Positive and have a “can-do” attitude.
• Meticulous with great attention to detail.
• Great team player.
• Inquisitive and analytical mind.