DUTIES & RESPONSIBILITIES
▪ Provide support to Team Lead, Techniques and Standards for development of an the end to end process to ensure that compliance processes match actions taken by team and ensure that the processes are proactively updated to reflect enhancements and improvements that are agreed from time to time.
▪ Identifying issues requiring improvement and potential themes, and identifying relevant remedial actions required and tracking through to completion.
▪ Monitor and report on the progress of actions plans of respective units in compliance functions and assesses their adequacy for effectively managing compliance risk. Escalate findings to Head, Techniques and Standards.
▪ Assist in carrying out investigation as may be required by the Head, Techniques and Standards.
▪ Conduct periodic review and update of Compliance QAR policies and procedures
▪ Analyzes, classify and present management with information to aid decision making purpose.
▪ Acting as a catalyst for change and improvement in performance / quality
JOB REQUIREMENTS
Education
▪ First degree (or equivalent) in Law, Banking & Finance or related discipline
Experience
▪ A minimum of 2 years’ experience working in compliance or related areas in financial services
