Manager - Compliance (Regulatory Compliance) - HL BANK

Roles & Responsibilities

Job Responsibilities

Regulatory Compliance & internal Reporting

1. Perform tracking and recording of new regulations / regulatory updates / consultation papers daily.

2. Identify new and revised local and BNM regulatory requirements and assess their applicability to HLBS and Head Office (“HO”).

3. Communicate relevant new and updated regulatory requirements to impacted departments on a timely basis.

4. Communicate relevant consultation papers to impacted departments, and consolidate feedback for submission to MAS.

5. Disseminate weekly regulatory updates to the branch.

6. Develop monthly Regulatory Reports for Head Office and Head of Departments (“HOD”) on a timely and accurate basis. This includes the HOD deck, Risk and Compliance Governance Committee (“RCGC”) deck, IBRMC deck, Head Office Regulatory Report, and Head Office RCGC deck.

7. Track and follow up on the timely implementation of new and revised relevant regulatory requirements

8. Record status of implementation of applicable new regulations / regulatory updates.

Compliance Testing

1. Perform independent compliance testing and verification to ensure adequate implementation of requirements and processes.

Compliance Advisory

1. Assist the business and support units in identifying gaps in the bank’s processes against regulatory requirements, and develop solutions to close the gaps.

Risk and Compliance Self-Assessment (“RCSA”)

1. Perform the RCSA Annual Review for the Compliance department

2. Perform the RCSA Control Testing for the Compliance department.

Compliance Coordinator for the HL Bank RCGC

1. Organize local HL Bank RCGC meetings.

2. Develop RCGC meeting material.

3. Coordinate KRI reporting for all departments.

4. Track the tabling of RCSA Annual Review and RCSA Control Testing for all departments.

5. Coordinate and prepare updates on all regulatory issues.

6. Coordinate and prepare updates on all projects and key initiatives.

7. Coordinate and review presentation material from all departments.

8. Record meeting minutes.

9. Record, track and follow up on matters arising from the RCGC meeting for status updates and closure.

Compliance Support on Bank Initiatives

1. Provide Compliance support on projects and initiatives, providing guidance from a regulatory perspective.

2. Review SOPs and marketing materials to ensure that they comply with the relevant regulatory requirements.

3. Review and ensure that submitted CRS forms are duly completed.

Job Requirements

• University degree..
• International Compliance Association Qualification or equivalent is preferred.
• At least 7 years in Regulatory Compliance related experience.

Tell employers what skills you have

Excellent Communication Skills

Ingredients

Compliance Testing

Regulatory Compliance

Regulatory Affairs

Risk Management

Securities

Chemistry

Investment Management

Food Technology

Compliance

Audits

Food Science

Regulatory Requirements

Audit

Technical Support