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Head, Group Regulatory Advisory

Head, Group Regulatory Advisory

Alliance Bank Malaysia BerhadKuala Lumpur, Kuala Lumpur, Malaysia
10 jam yang lalu
Penerangan pekerjaan

Providing regulatory advisory in projects and new business assessment, manage regulatory breach, disseminate new / revised regulatory issuance to stakeholders, conduct and review regulatory compliance gap analysis and ensure compliance to the regulatory requirements through close liaison with stakeholders.

Provide advisory to business / support units in analyzing and resolving compliance issues & managing regulatory inquiries and affairs.

Help drive effective implementation of policies and procedures for stakeholders, arising from regulatory changes, interpret and analyze new or revised regulatory requirements and to provide proper advice and guidance in ensuring stakeholders’ compliance with the requirements.

Provide advisory, participates and support in various bank strategic projects.

Key Responsibilities

  • Keep abreast of regulatory developments and assess the impact of new regulations.
  • Implement and oversee the process for : -
  • Dissemination of new / revised regulations to relevant stakeholders and advise on the applicable regulatory requirements.
  • Dissemination of regulatory / industry consultations to relevant stakeholders for comment / review and coordinate the responses for submission.
  • Communication with stakeholders to implement / refine processes to meet new / revised regulatory requirements via review of their Gap Analysis (“GA”) and Attestation of Compliance (“AOC”).
  • Review and maintain the Gap Analysis Process Guidelines.
  • Review and maintain the Regulatory Risk Matrix.
  • Publish regulations in Alliance Portal.

Regulatory Advisory / Projects / New Business Assessment on Products & Services

  • Participate in new initiatives / projects and providing independent and objective perspective of residual compliance risk through Compliance Risk Assessment.
  • Perform Compliance Risk Assessment on bank’s new products / product variations / new delivery channels to ensure compliance standards are met and risks are mitigated.
  • Provide review and advisory on product suitability for target customers, product and risk disclosure and potential reputation risk issues pertaining to distribution of investment products to high net worth / privilege banking / retail customers to ensure risks are adequately addressed prior product launch.
  • Review publication and communication materials including terms and conditions, risks disclosure statements, customer notification letter, sales call scripts, agreements, presentations and websites to ensure compliance with regulatory requirements as well as with the internal guidelines and procedures.
  • Participate in Group Financial Market’s Product Operational Readiness Team (“PORT”) Meeting and providing advice on applicable regulatory requirements.
  • Provide advice business on applicable statutory and regulatory requirements related to stakeholders’ businesses to ensure appropriate implementation of its policy and procedures.
  • Provide advice business on best practices for compliance by ensuring the business is educated on the compliance culture and by creating awareness around compliance implication of daily duties.
  • Provide advisory on approval processes and for the selection of new 3rd party product providers and business partners.
  • Review stakeholders’ policies and procedures to ensure controls implemented within business are up to date with latest laws and regulations and consistent with industry best practices.
  • Review the supporting documents and relevant papers to facilitate the Group Compliance Risk Assessment (GCRA) exercise.
  • Ensure continuous review and maintenance of GCRA Guidelines.

    • Compliance Control Room

  • Lead the development of policies and guidance to safeguard bank and staff against breaches of insider trading laws and allegation of improper use of non-public price sensitive information as well as set out the expectations of bank staffs’ conduct with regard to personal trading, in line with the standards of ethical and professional behavior, as encapsulated in the Bank’s Code of Conduct, Personal Trading Policy and Chinese Walls Policy.
  • Provide guidance and timely responses to ad-hoc queries from stakeholders including those related to Chinese Walls controls, trading and the confidential lists.
  • Ensure continuous review and maintenance of the Personal Trading Policy and Chinese Walls Policy.

    • Advisory and Pre-submission Review of bank’s strategic initiatives

  • Participates in discussion with stakeholders and provide advice from regulatory perspective and recommendation on how best the initiatives shall be implemented in compliance with the regulatory requirements.
  • Review and validate the accuracy of details prepared by the stakeholders before submission to regulators for approval.

    • Regulatory Breach Management

  • Work closely with business units to assess incidents whether they are regulatory breaches and / or involve staff misconduct, and handle reporting of regulatory breaches and / or misconduct to BNM or other regulators.
  • Monitor and report significant compliance / regulatory issues, highlight key areas of concern for attention and follow up with the respective parties where required.
  • Ensure continuous review and maintenance of the Compliance Guide : Reporting of Regulatory Breaches.

    • Regulatory Reporting

  • Ensure periodic reporting from GC to regulators are accurate, complete and submitted within the stipulated timeline.

    • Regulatory Relationship

  • Building good rapport and trust with regulators, government bodies and relevant associations through open and transparent communication.
  • Coordinate with stakeholders in gathering of internal information to address and respond to regulatory inquiries on a timely basis.
  • Liaison party between the Bank and the regulators, Government bodies & relevant Associations.

    • Other Ancillary functions

  • Attend to ad-hoc requests and other related matters as deemed necessary by the Group Chief Compliance Officer.

    • Supervisory Roles

  • Review tasks completed by team members / subordinates for completeness and alignment to overall strategy and compliance framework.
  • Provide guidance, supervision and motivation to team members to enable them to carry out their duties effectively on all functions / activities.

    • Requirements

    Skills

  • Good analytical thinking and problem solving skills.
  • Good writing and communication skills.
  • Good interpersonal skills.
  • Proactive and able to work independently as well as in a team.

    • Knowledge

  • Professional qualification or Degree in Banking & Finance, Business Administration, Law or other relevant discipline.
  • Knowledge in banking operations and products.

    • Experience

  • At least 10 years of working experience in a financial institution.
  • Experience in compliance, risk management or internal audit function is an added advantage.
  • Experience in banking operations or product development is an added advantage.

    • Seniority level

    Mid-Senior level

    Employment type

    Full-time

    Job function

    Consulting and Legal

    Industries

    Banking

    #J-18808-Ljbffr

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