Associate Specialist, Compliance Review T1

Associate Specialist, Compliance Review T1

Associate Specialist, Compliance Review T1

• Always keep abreast with the latest regulatory updates, trends and best practices.
• Perform end-to-end / in-depth review of a particular guideline or functional area bank-wide via thematic review.
• Collaborates with management to appropriately evaluate and investigate compliance issues / concerns identified during the review.
• Conducts exit meetings with management to articulate any compliance issues / concerns.
• Work closely with BRCOs and the management to develop / implement corrective action plans for resolution of compliance issues / concerns.
• Monitors correction action plans to ensure closure of compliance issues / concerns raised during the review.
• Monitors the performance of the annual compliance review plan and ensure appropriate steps are taken to accommodate any ad hoc activities / requests from the regulators.
• Ensure reporting of violations or potential violations are documented and reported to Board and Management.
• Provides reports on a regular basis, and as directed or requested, to keep the Board and Management informed of compliance issues / concerns.

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