- Develops, initiates and maintains the annual compliance review plan taking into consideration of the following:
- All branches across Malaysia
- All business/functional areas across the bank
- Forward-looking, current or emerging risk relating to regulations across all sectors
- Annual risk rating results derived from the Compliance Risk Assessment Model (CRAM)
- New regulations that have been issued or updated by the regulators and fully implemented by the Bank within the past year
- Gap assessments on updated and new regulatory requirements
- Regional entities under the bank
- Past incidences / non-compliances
- Always keep abreast with the latest regulatory updates, trends and best practices.
- Collaborates with business/functional areas to appropriately evaluate and investigate compliance issues/concerns identified during the review.
- Work closely with BRCOs and the business/functional areas to develop/implement corrective action plans for resolution of compliance issues/concerns.
- Monitors the performance of the annual compliance review plan and ensure appropriate steps are taken to accommodate any adhoc activities/requests from the regulators.
- Ensure reporting of violations or potential violations are documented and reported to Board and Management.
- Provides reports on a regular basis, and as directed or requested, to keep the Board and Management informed of compliance issues/concerns.
Subject matter expertise
- Provide expertise and guidance to team members
- Support best practice sharing across teams
- Resolve any escalated customer related issues e.g. complains, approval
Resource planning
- Play an “Air traffic control” role, coordinate shift/leave schedule between team members
- Balance resource allocation across team based on demand and priorities
- Ensure attendance and adherence of team member (with regards to work schedule)
- Support the CoE/ Chapter / Circle to hire for required skillset
Team mgmt. and coaching
- Help empower the team to work independently & self-manage
- Support the team in removal of obstacles
- Work with Circle/Chapter Lead to ensure team is performing well and help to identify ways to improve skillset within the team
- Support career and skills development of team by defining a clear development plan & trainings
- Conduct reviews & evaluations on of team member's performance
- Provide on-the-ground coaching and guidance for all team members
- Coordinate/lead trainings for team members
- Raise common issues faced by either the team or customer to the Chapter/Circle Lead
Standard enforcement
- Ensure team members follow the standards and practices of their functional expertise
- Ensure key information is cascaded and necessary documentations are created (reports)
- Support implementation of any initiatives at the team level
Peer Relationship
Position Titles / Parties
Nature of Interactions
GCGC other Section Head and team members
Exchanging information
- Develops, initiates and maintains the annual compliance review plan taking into consideration of the following:
- All branches across Malaysia
- All business/functional areas across the bank
- Forward-looking, current or emerging risk relating to regulations across all sectors
- Annual risk rating results derived from the Compliance Risk Assessment Model (CRAM)
- New regulations that have been issued or updated by the regulators and fully implemented by the Bank within the past year
- Gap assessments on updated and new regulatory requirements
- Regional entities under the bank
- Past incidences / non-compliances
- Always keep abreast with the latest regulatory updates, trends and best practices.
- Collaborates with business/functional areas to appropriately evaluate and investigate compliance issues/concerns identified during the review.
- Work closely with BRCOs and the business/functional areas to develop/implement corrective action plans for resolution of compliance issues/concerns.
- Monitors the performance of the annual compliance review plan and ensure appropriate steps are taken to accommodate any adhoc activities/requests from the regulators.
- Ensure reporting of violations or potential violations are documented and reported to Board and Management.
- Provides reports on a regular basis, and as directed or requested, to keep the Board and Management informed of compliance issues/concerns.
Subject matter expertise
- Provide expertise and guidance to team members
- Support best practice sharing across teams
- Resolve any escalated customer related issues e.g. complains, approval
Resource planning
- Play an “Air traffic control” role, coordinate shift/leave schedule between team members
- Balance resource allocation across team based on demand and priorities
- Ensure attendance and adherence of team member (with regards to work schedule)
- Support the CoE/ Chapter / Circle to hire for required skillset
Team mgmt. and coaching
- Help empower the team to work independently & self-manage
- Support the team in removal of obstacles
- Work with Circle/Chapter Lead to ensure team is performing well and help to identify ways to improve skillset within the team
- Support career and skills development of team by defining a clear development plan & trainings
- Conduct reviews & evaluations on of team member's performance
- Provide on-the-ground coaching and guidance for all team members
- Coordinate/lead trainings for team members
- Raise common issues faced by either the team or customer to the Chapter/Circle Lead
Standard enforcement
- Ensure team members follow the standards and practices of their functional expertise
- Ensure key information is cascaded and necessary documentations are created (reports)
- Support implementation of any initiatives at the team level
