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Key ResponsibilitiesSafeguard the department by ensuring adherence to regulations, mitigating risks, and promoting ethical conduct.
Review and ensure a range of critical functions, including collaborating on compliance initiatives, facilitating audits and reviews, and supporting AQM's overall compliance posture.
Perform monthly, quarterly, half yearly, yearly, and ad-hoc reports.
ACCOUNTABILITIES
Compile all units' monthly, quarterly, half-yearly, and yearly compliance reports for submission.
Compile ad-hoc compliance reports, incidents, and requests from AQM Compliance unit head and Consumer Compliance/Compliance Monitoring or any other business entity.
Assist as a gateway when need arises with government agencies/regulators such as LEA/Regulated external party.
Review AQM's Standard Operating Procedures (SOP) and ensure SOPs align with regulatory requirements and compliance standards.
Attend Matched Mule Account Listing (when needed) and distribute to all business units.
Prepare and circulate internal circulars and guidelines.
Prepare and perform quarterly clean desk exercises and call tree plan.
Prepare E-Acknowledgement for internal circulars, guidelines, and policies and circulate to all AQM, KBC staff.
Raise STR and AML Reporting when necessary.
Review business units' processes.
Conduct voice witness checking on a monthly basis.
Maintain up-to-date knowledge of relevant regulations and industry best practices, including those set by BNM.
Advise and support other departments on compliance matters and best practices.
Participate in the continuous improvement of AQM's compliance program.
Collaborate with Consumer Risk & Compliance/Group Compliance to monitor and maintain adherence to all relevant financial regulations, BNM requirements, and internal policies.
Respond to requests for information or clarification from Group Compliance, Internal Audit & other stakeholders including requests from government agencies.
Assist in the development and implementation of AQM's compliance program, including training and awareness initiatives.
Assist in the preparation of documentation and data for internal and external audits/reviews related to AQM's compliance and operations.
Assist in monitoring and compiling documents to be submitted to Compliance Department and Operational Risk Management (ORM).
Prepare yearly BCP & RA/BIA, SOJT, and Live Test Documents for activation of Call Tree Exercise for review by unit head.
Prepare and compile SOJT for training, ad hoc SOJT compliance reporting and assist preparation of Specific and Generic Risk Control Self-Assessment when necessary.
Back-up Coordinator for BCP.
Attend to any other assignment given by the Manager/Superior from time to time.#J-18808-Ljbffr