Job Description

:LEA AND CCID LIAISONAs a key member of the team responsible for LEA and CCID liaison, assist Compliance Officers and Senior Compliance Officers in:

• Liaising with regulators and industry bodies as needed and directed. This includes filing regulatory reports, responding to information requests, and directions/requests from regulators.
• Ensuring orders from law enforcement agencies, directions from regulators and police, including police reports, are fully tracked and acted upon timely. This includes fulfilling the instructions in such orders, maintaining internal and industry watchlist entries, ensuring customer relationships are reviewed, restricted or maintained by relevant stakeholders, as appropriate.

FINANCIAL CRIME COMPLIANCEPerform the general duties of a financial crime compliance officer, by helping to ensure the anti-financial crime framework of the Bank is robust, fit-for-purpose, and well operationalised. This includes assisting the Compliance Officers and Senior Compliance Officers in the performance of the following duties, where required:

• Providing second line of defence oversight of financial crime compliance in the bank, including timely, practical advice on financial crime issues arising, as required.
• Performing periodic and/or targeted reviews to identify areas/portfolios of concern in respect of particular financial crime risk themes.
• Liaising with regulators and industry bodies as needed and directed. This includes filing regulatory reports, responding to information requests, and directions/requests from regulators.
• Preparing periodic management and/or board reporting on financial crime matters, as appropriate.
• Working with relevant stakeholders to ensure that all internal and external reporting timelines are fully complied with.
• Undertaking regular review, and revision, of group policies and procedures to ensure full compliance with all applicable financial crime compliance requirements. This includes reviewing and advising on any dispensation or variation requests, including from regional operations.
• Working jointly with other compliance (including business compliance) colleagues to ensure that gap analyses, and risk assessments, are well conducted and timely; and that appropriate systems, processes and controls are well implemented to ensure full compliance with relevant anti-financial crime requirements.
• Providing, and/or coordinating the provision of, information in internal and external assurance, audit or other validation exercises in respect of financial crime compliance.
• Assisting Senior Financial Crime Compliance Officers with leading/overseeing any corrective or remedial actions required from time to time.
• Working with Learning & Development (Group Human Resources) to develop/review learning materials and ensure that all colleagues performing functions relevant to financial crime compliance receive appropriate training as required.
• Regional operations - assisting with the oversight of financial crime compliance of regional operations, in accordance with the Regional Target Operating Model, by closely liaising with regional compliance officers and their teams.
• Other duties as directed by the Head of Department and/or direct supervisor.

CIMB