Team Member – Compliance & Supervision

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Compliance

• To compile all units monthly, quarterly, half-yearly and yearly compliance report for submission
• To compile ad-hoc compliance report, incident, and request from AQM Compliance unit head and Consumer Compliance / Compliance Monitoring or any other business entity.
• Assisting as a gateway when need arises with government agencies / regulator such as LEA / Regulated external party
• Review AQM’s Standard Operating Procedures (SOP) and ensure SOPs align with regulatory requirements and compliance standards.
• To attend to Matched Mule Account Listing (when in need) and distribute to all business units.
• To prepare and circulate internal circulars and guidelines.
• To prepare and perform quarterly clean desk exercises and call tree plan.
• To prepare E-Acknowledgement for internal circulars, guidelines, policies and circulate to all AQM, KBC staff.
• To raise STR and AML Reporting when necessary.
• To review business units’ processes.
• To conduct voice witness checking on monthly basis.
• Maintain up-to-date knowledge of relevant regulations and industry best practices, including those set by BNM.
• Advise and support other departments on compliance matters and best practices.
• Participate in the continuous improvement of AQM's compliance program.
• Collaborate with Consumer Risk & Compliance / Group Compliance to monitor and maintain adherence to all relevant financial regulations, BNM requirements, and internal policies.
• Respond to requests for information or clarification from Group Compliance, Internal Audit & other stakeholders including request from government agencies.
• Assist in the development and implementation of AQM's compliance program, including training and awareness initiatives.
• Assist in the preparation of documentation and data for internal and external audits / reviews related to AQM's compliance and operations.
• To assist in monitoring and compiling documents to be submitted to Compliance Department and Operational Risk Management (ORM).
• To prepare yearly BCP & RA / BIA, SOJT and Live Test Documents for activation of Call Tree Exercise for review by unit head.
• To prepare and compile SOJT for training, ad hoc SOJT compliance reporting and assist preparation of Specific and Generic Risk Control Self-Assessment when necessary; Back-up Coordinator for BCP.
• Back-up for OpRisk reporting. Ensure vendor compliance with relevant laws, regulations, and company policies, particularly related to data privacy and consumer protection.
• Maintain accurate and up-to-date records of vendor contracts, performance data, and other relevant documentation.
• Support compliance audits of vendor operations by gathering and organizing necessary information.

Vendor Management

To attend to any other assignment given by the Manager / Superior from time to time.

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