• Ensure the implementation of the branch compliance plan
  • Respond to regulatory authorities’ routine queries and coordinates completion of survey and other request for information
  • Develop and perform periodic compliance reviews
  • Investigates compliance breaches and customer complaints
  • Draft the annual compliance plan for HOD and management approval
  • Conducts compliance training and provides advisory on Banking Act, SFA and FAA and other compliance matters
  • Implement and update compliance policies and procedures based on Head Office, and local regulatory requirements.
  • Prepares/reviews periodic reporting to local regulatory authorities, Head office and Management.
  • Tracks/monitor changes and updates on local regulations, conducts briefing and discussions on implementation with relevant departments and post implementation review.
  • Conducts annual regulatory risk assessment
  • Any other tasks as assigned by the HOD and/or Management from time to time


  • Degree holder with at least 3-4 years’ experience in Regulatory Compliance in a bank
  • Good leadership skill, team player and ability to manage multiple demands
  • Meticulous and ability to work independently
  • Good communication and interpersonal skills