- 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