Compliance Officer

Key Responsibilities
Regulatory Compliance
• Monitor compliance with all applicable laws, regulations, directives, and guidelines issued by regulatory authorities.
• Ensure the institution complies with NBC regulations, AML/CFT requirements, consumer protection requirements, and other statutory obligations.
• Monitor regulatory developments and advise management on changes affecting operations.
• Maintain a regulatory compliance register and compliance monitoring program.
AML/CFT Compliance
• Oversee compliance with Anti-Money Laundering and Counter Financing of Terrorism (AML/CFT) requirements.
• Review and monitor KYC, Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), and ongoing customer monitoring processes.
• Review transaction monitoring alerts and investigate unusual or suspicious activities.
• Assist in preparing and filing Cash Transaction Reports (CTR) and Suspicious Transaction Reports (STR) to the relevant authorities.
• Conduct sanctions screening and monitor politically exposed persons (PEPs).
Compliance Monitoring and Testing
• Conduct periodic compliance reviews and testing across departments and branches.
• Identify compliance gaps and recommend corrective actions.
• Follow up on compliance findings and management action plans.
• Monitor implementation of regulatory and internal policy requirements.
Policy and Procedure Management
• Assist in developing, reviewing, and updating compliance policies, procedures, and manuals.
• Ensure internal policies remain aligned with current regulatory requirements and industry best practices.
• Provide guidance to business units regarding policy interpretation and implementation.
Advisory and Training
• Provide compliance advice to management and staff.
• Conduct compliance awareness and AML/CFT training programs.
• Promote a culture of ethical conduct and regulatory compliance throughout the institution.
• Support staff in understanding compliance obligations.
Regulatory Reporting and Liaison
• Prepare compliance reports for senior management, Board Committees, and regulators.
• Coordinate regulatory inspections and examinations.
• Respond to regulatory inquiries and information requests.
• Maintain effective working relationships with regulators and external stakeholders.
Complaint and Consumer Protection Monitoring
• Monitor customer complaints involving regulatory or compliance issues.
• Ensure complaints are handled in accordance with regulatory requirements.
• Recommend improvements to strengthen consumer protection practices.
Risk Management Support
• Assist in identifying and assessing compliance risks.
• Support enterprise risk management initiatives relating to compliance risk.
• Maintain compliance risk assessments and risk registers.
Other Duties
• Participate in compliance-related projects and initiatives.
• Support internal and external audits relating to compliance matters.
• Perform other duties assigned by the Compliance Manager or Chief Executive Officer.

Key Performance Indicators (KPIs)
• Timely submission of regulatory reports.
• Number of compliance breaches identified.
• Completion rate of compliance reviews and monitoring activities.
• AML/CFT compliance effectiveness.
• Timely closure of compliance findings.
• Staff compliance training completion rate.
• Regulatory examination results.
• Number of overdue corrective actions.

语言要求：English (Good)