TN Frank

Job Description:

• Risk Management

- Identification and assessment of compliance risk within a financial institution’s activities

- Able to perform appropriate tests/review to evaluate the adequacy of internal controls to manage compliance risk and promptly follow up on any identified deficiencies and plans to address such deficiencies.

-Able to prepare report for management reporting and brief senior manager, when needed, on compliance risk issue and finding from time.

• Advisory

-  - Able to advise on legal and regulatory requirements, and its implication to compliance risk profile and capacity to manage compliance risk going forward

    - Able to provide compliance advisory to business units on the products and services from product initiation till product launch.

• Guidance and training

- Responsible in ensuring adequate training is provided to officers of the bank on relevant legal and regulatory requirements governing the bank’s activities.

- Training must be timely and must explain on the context of banking operation.

- Provide guidance on the implementation of internal controls to manage compliance risk

• Governance

- Responsible to draft and operationalize any policy procedure issued by BOC Group and regulator for adoption in the bank

- Able to lead, participate and manage discussion with business units to implement  relevant controls to comply with regulatory requirements

• Dissemination of new regulation

- Responsible to ensure timely dissemination of new regulation and follow up on the status of completion with relevant stakeholders.