Job Description

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BUSINESS PERFORMANCE AND OPERATIONS

Business Performance

• Act as the central liaison/contact person between Group Compliance (\xe2\x80\x9cGC\xe2\x80\x9d)/Group Non-Financial Risk Management (\xe2\x80\x9cGNFRM\xe2\x80\x9d) and respective units under purview in Group Operations MY in relation to all risk and compliance matters.
• Ensure GC and GNFRM Policies and Procedures, laws/regulations/guidelines (including any updates), are communicated, to all staff within the units under purview.
• Ensure internal Policies and Procedures and/or Standard Operating Procedures are updated by business unit under purview within Group Operations to address laws/regulations/guidelines issued, wherever relevant/ applicable.
• Review and follow-up on any non-compliance (regulatory and operational) issues escalated within the respective units under purview for appropriate closure.
• Discuss with and obtain approval from the Head of Department on all regulatory non-compliance issues before reporting incorporating them in the bank\'s reporting system.
• Support Risk Control Specialist ("RCS") in performing gap analysis against GC guidelines to ensure adherence to compliance requirements. Ensure corrective action is identified by business unit, track and monitor to address the gaps accordingly.
• Execute the operational risk framework of the bank as per GNFRM policy and procedure and ensure data is accurately recorded in a timely manner in the SHARP system for reporting and record purpose.
• For control gaps identified, obtain agreement with unit responsible to ensure action plans (Control Issue Management - CIMs) are appropriate, prioritized, sustainable and that action plans are closed by the committed due date.
• Work with business unit under purview and RCO, carry out the implementation of the Risk Control Self-Assessment (\xe2\x80\x9cRCSA\xe2\x80\x9d) and ensure that the Control Effectiveness Testing (\xe2\x80\x9cCET\xe2\x80\x9d) is updated and complete with the relevant processes / requirements / laws/ regulations/ guidelines and tested accordingly.
• Provide guidance and supervise independent testers to ensure the CET and KRI testing meet the required guidelines as set by GNFRM and GC.
• Support RCS and unit under purview in internal/external audits or GC reviews.
• Obtain the declaration from new employees (as and when they join) within the units under purview and retain the same for review by Group Compliance/GCAD/ regulators as and when they deem fit.
• With the support from RCS, provide on-going compliance and operational risk awareness training as required.
• Provide guidance as needed to support the business in meeting their risk objectives.
• Complete and support any ad-hoc tasks assigned by supervisor.
• Identify and eliminate nonvalue-added functions to achieve greater output with increase rate of delivery and cost reduction.
• Compliance to ISO 9001:2015 Quality Management System, Malaysian Standard requirements

Business Efficiencies

• Collaborate with other departments to drive operational efficiency to further enhance services.
• Drive operation efficiency of Treasury to support the business growth and expansion.
• Identification and implementation of best practices.

STAKEHOLDER ENGAGEMENT AND MANAGEMENT

• Contribute constructive feedback on monitoring and internal policies to address concerns and facilitate business growth.
• Knowledge on Treasury products and governance and able to contribute positively in stakeholder engagement.
• Drive activities to build and strengthen the organizational culture, values and reputation in the Group with all employees, customers and regulatory bodies.
• Handle escalation promptly and escalates to Management and relevant escalation matrix that may be determined.
• Maintain strong working relationship with Back Office by providing support, efficient monitoring and understand their expectations.
• Any other responsibilities/tasks as assigned by management from time to time.

RISK MANAGEMENT & REGULATORY COMPLIANCES

Regulatory, Business Conduct and Compliance

• Display exemplary conduct and live by the Group\'s values.
• Take personal responsibility for embedding the highest standard of ethics, including regulatory and business conduct across CIMB.
• Ensure compliance with regulatory requirements, client mandates, CIMB Group Policies & Procedures and departmental policies and procedures.
• Ensure products and services are delivered in compliance with local Regulatory Requirements and Product Policy
• Foster a culture of continuous improvement to support an effective and efficient operations system, in compliance to banking regulations.
• Effectively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
• Ensure compliance with regulatory requirements, CIMB Group Policies & Standard Operating Procedures and external auditor.

Risk Management

• Proactively monitor operational controls within Business Units, system/channel risk of the products and actively highlight any potential and actual breakdown of controls.
• Responsible for identification, escalation, management, monitoring and mitigations of all aspects of risk in accordance with all relevant products.
• Assist in identifying, establishing and reviewing Risk Control Self- Assessment, Key Risk Indicators and Control Issue Management to identify thematic and emerging risk.
• Assist in monitoring performance against defined Key Risk and Performance indicators.
• Ensure controls are efficiently and effectively exercised in order to prevent frauds and losses.

PEOPLE MANAGEMENT

People

• Able to understand the needs of employees at all levels within Operations.
• Confident and equally comfortable interacting with and speaking with colleagues as well as Middle/Senior Management team.
• Efficient utilization of resources and adherence to established controls and procedures.
• Supervise immediate staff and monitor performance.
• Create a harmonious work environment.
• Demonstrate strong teamwork with internal and external team members.

Talent Management

• To instill best practices that embeds a high-performance culture across Operations.
• To establish best practices for direct reports to ensure appropriate rewards and development.
• Talent management is a core competency where the identification and developing of junior talents, setting expectations and managing performance in leading the team towards achieving a high-performance culture.
• Promotes and builds a talent pipeline and develops within the various stakeholders/operational units successful succession planning.

CIMB