Sr Exec - Personal Financial Services Credit (Compliance)

Sr Exec - Personal Financial Services Credit (Compliance)

If you are looking to excel and make a difference, take a closer look at us…

• To be the liaison between PFS Credit Compliance to department stakeholder(s) to provide support and to drive all compliance and operational risk related matters. To perform robust assessments reviews to strengthen departmental Risk & Control Self-Assessment (RCSA).
• To execute prompt escalation of any breaches (regulatory/internal policy/process) detected, conduct appropriate investigation for accurate reporting of the lapses and follow-up to ensure action plan committed for the lapses are effectively resolved.
• To prepare and submit prompt reporting for the following:

1. Operational Risk Events/Loss Events Reporting
2. Risk and Control Self-Assessment
3. Compliance Breach Reporting (CBR)
4. Compliance Self-Assessment (CSA)
5. Internal Escalation Report

• To regulate day to day compliance activities e.g. Clean desk policy and privacy of customer data in the dept.
• To organize trainings/briefings covering all relevant department staff on compliance, new regulatory guidelines and internal policy/process updates and new joiners training for Inhouse and DCA (To ensure HR performs background screening for DCA new joiners).
• To organize refresher trainings/briefings for staff on periodic basis to reinforce knowledge retention of regulatory guidelines, internal policies and key processes relating to department including DCAs (quarterly).
• To monitor and track all compliance matters for DCAs appointed by Bank including preparing monthly periodic reporting and review, and updating DCAs on new changes from ORM.
• To monitor and follow-up department staff completion of all Compliance mandatory learning modules, Compliance Programs rolled-out by PFS Credit Compliance BUCO Office.
• To back up in the absence of Team Leader/Team Manager to ensure the smooth running of day-to-day operations.

Job Requirements:

• Malaysian Citizen
• Preferably degree in law, finance, business administration or related field.
• Experience in regulatory compliance and operations risk for more than 2 years in banking industry

Realise your full potential at Hong Leong Bank by applying now.