Circle Lead, Regulatory Compliance Assurance

Develops, initiates and maintains the annual compliance review plan taking into consideration of the following:

o 208 branches across Malaysia

o 212 business/functional areas across the bank

o Forward-looking, current or emerging risk relating to regulations across all sectors

o Annual risk rating results derived from the Compliance Risk Assessment Model (CRAM)

o New regulations that have been issued or updated by the regulators and fully implemented by the Bank within the past year

o Gap assessments on updated and new regulatory requirements

o Regional entities under the bank

o 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.

Peer Relationship

Position Titles / Parties

Nature of Interactions

GCGC other Section Head and team members

Exchanging information

Internal Relationship

Position Titles / Parties

Nature of Interactions

3

 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