Job Description

• Performs annual assessments on business units to determine compliance, legal, and/or business risks. Work with unit managers to implement corrective action plans for deficiencies. Monitor and ensure implementation of corrective action.
• Develops expertise in and direct support of relevant business areas and acts independently with broad discretion.
• Defines and documents policies, procedures, and Ensure full compliance processes that support compliance and compliance improvements and helps keep them up-to-date and relevant.
• Responsible for presentations to committees on compliance initiatives.
• Prepares periodically compliance reports in conjunction with Head of Compliance.
• Acts as liaison between Legal/Compliance units and business.
• Leads training on new compliance regulations and initiatives, as needed.
• Collaborates on compliance & quality initiatives/projects within the segment and enterprise levels.
• May also engage with and/or perform oversight of external vendors to ensure compliance with regulatory including related AML/CFT matter and internal Group standards.
• Ensuring the implementation of the AML/CFT and PPPSPM program, including increasing awareness, employee training, transaction monitoring, timely reporting and documentation of all AML/CFT-related documents in accordance with applicable regulation and internal policies and procedures.
• Conducting visits to branch offices to review, increasing awareness and conduct training sessions on applicable regulations, including AML/CFT and PPPSPM.
• Develops expertise in and direct support of relevant business areas including AML/CFT matters and acts independently with broad discretion
• Manage updates and/or revision to AML/CFT/CPF policy and guidelines (including but not limited to addendum, operation manual etc.)
• Perform Quality Assurance (QA) functions for all alert closures in the AML system to ensure the adequacy of alert management.
• Perform AML review onto Business Unit and Branch offices.