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Compliance Team Lead
BaxianKuala Lumpur, Kuala Lumpur, Malaysia4 hours ago
Job descriptionMonitor and track the status of all outstanding client file reviews to ensure completion within set deadlines, escalating delayed cases to relevant business units as necessary. Perform secondary reviews of client files, including new incorporations, ongoing monitoring, and risk rating changes, to ensure quality and accuracy. Ensure all AML / KYC regulatory requirements for new and existing clients are in place, documented, and kept up-to-date. Liaise with the Compliance Manager and other departments to address and resolve quality control issues identified in client file reviews. Act as the primary subject matter expert, guiding team members in gathering data and supporting documents from various internal and external sources. Support and coach team members to identify data gaps, perform comprehensive risk assessments (including for PEPs and Other High Risks), and evaluate client profiles. Provide direct support to the team in preparing and gathering evidence for Internal Suspicious Transaction Reports (ISTRs). Conduct operational training sessions and presentations on compliance matters as required. Act as the primary subject matter expert, guiding team members in gathering data and supporting documents from various internal and external sources. Support and coach team members to identify data gaps, perform comprehensive risk assessments (including for PEPs and Other High Risks), and evaluate client profiles. Provide direct support to the team in preparing and gathering evidence for Internal Suspicious Transaction Reports (ISTRs). Conduct operational training sessions and presentations on compliance matters as required. Provide timely compliance support and advisory services to business units on internal procedures and regulatory obligations. Continuously monitor new and evolving AML / CFT legislation and jurisdictional requirements, advising the Compliance Officer and Senior Management on necessary actions. Assist the Compliance Officer in updating and maintaining all compliance procedures, guidelines, reports, and manuals. Ensure the company's strict adherence to all statutory and internal AML / CFT policies and regulations at all times. Assist in the preparation of the Annual Compliance Report to the Board of Directors and regulators within required timelines. Assist with internal and external audit reviews, suggest process improvements, and implement required changes. Liaise with Compliance Officers and auditors from other offices within the Group on compliance-related matters. Handle various corporate, company secretarial, and trust-related compliance matters. Assist senior management and the Compliance Manager with other ad-hoc tasks and projects as required. Bachelor’s Degree in law, Finance, Accounting, Economics or a related field. A minimum of 5 years of direct experience in an AML / CFT compliance role. In-depth knowledge of applicable local and international AML / CFT laws, regulations, and best practices. Proven experience in team leadership, supervisory, or managerial capacity. Professional certification such as Certified Anti-Money Laundering Specialist (ACAMS) or from the International Compliance Association (ICA). Working knowledge in corporate secretarial and trust structure.
Job Description
1. Team Leadership & Performance Management
- Manage the preparation and execution of individual action plans and performance targets for all team members.
- Train, coach, and appraise the team to ensure all targets, Key Performance Indicators (KPIs), and Service Level Objectives (SLOs) are consistently met.
- Develop and implement strategic plans for the team's overall growth, skill enhancement, and operational activities.
2. Operational Oversight & Quality Assurance
3. Subject Matter Expertise & Team Support
4. Regulatory Compliance & Advisory
5. Reporting & Stakeholder Management
6. General & Ad-Hoc Duties
Qualifications & Experience
Required :
Preferred :
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Team Lead • Kuala Lumpur, Kuala Lumpur, Malaysia
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