Exec / Sr Exec / Asst Manager / Manager - Personal Financial Services Credit (Compliance)

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

Functional (job responsibilities)

• Serve as first line of defense to provide compliance advisory support to division's stakeholders on regulatory/ internal compliance and operational risks
• Act as main liaison person to manage division audit, queries, assessments and/or surveys matters from the following parties are effectively attended to and within timeline:
  • Regulatory bodies - BNM, ABM, LEA (Law Enforcement Agencies)
  • Key internal stakeholders - Internal Audit, Group Compliance, Group Risk, Group Legal, Group Ops & Technology, Enterprise Business Continuity Management,
• Collaborate with Group Compliance and Group Risk to drive completion of reviews of key regulatory guidelines, risk attestation and due diligence for outsourcing activities etc.
• Facilitate regular independent reviews to identify compliance non-conformities, assess efficiency and create sound internal controls and to provide strategic guidance for area of improvements to strengthen governance  
• Drive continuous review of division self-assessment test plans to enhance robustness of operational risks and internal control management
• Initiate rigorous mystery shopping, spot and surveillance checks to mitigate compliance violations/regulatory reprimands    
• Manage E2E process of new regulatory guidelines, exposure drafts and internal policies publications cascaded to division encompassing identification of applicability, business impact, gaps, timely resolution of action plans and proper documentation in departmental SOPs    
• Drive culture of zero tolerance for delay or non-reporting of fraud, breaches and critical lapses
• Create dashboard/reports for effective management risk and control oversight     
• Develop and implement compliance gamification programs, trainings and communication to create high compliance awareness and effective retention of compliance knowledge across division  
• Provide leadership guidance and support to all department BUCRs/ORRs across division on matters relating to compliance

Education/Qualification

• Preferably degree in law, finance, business administration or related field

Experience

• Experience in regulatory compliance and operations risk for more than 5 years in banking industry

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