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Compliance Officer - Assistant Vice President
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Profile Summary
(MSAR)
- Responsible for executing initiatives from a compliance point of view to optimize efficiencies from both revenue and cost perspectives as a Compliance Officer (CO) of MSAR and MRHQ
- Responsible for the main contact for the related regulators and the related compliance sections within Mizuho group to realize smooth communication on compliance matters between MSAR, MRHQ and the related parties
- Ensure the Governing Body and the related parties that all corporate policies and procedures are in place to enable MSAR and MRHQ to comply with its regulatory requirements and laws
- Monitor the operation to make sure MSAR and MRHQ is adequately in compliance with regulatory requirements and laws
- Taking appropriate actions in cooperation with the related parties to make sure that the staff in MSAR and MRHQ gain adequate knowledge of compliance
- Develop and enhance internal governance through taking a lead in the compliance related procedures including but not limited to the followings:
- Establishing and promoting the Compliance Action Program;
- Planning the establishment and revision of the Compliance Manual;
- Responding to consultations from staff regarding Compliance, giving advice and-recommendations as necessary
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Support and assist President & CEO in MSAR and CCO in MRHQ
(MSAR)
- Compliance check to ensure that customers / vendors of doubtful intentions are not accepted in relationship
- Response for regulatory inquiries
- Advice business for all compliance related queries on timely manner by ensuring that the reply is based on the applicable regulations and policies and procedures
- Employee code of conduct and various employee declarations in coordination with Head of Administration in MRHQ for MSAR employees
- Tracking of events within MSAR which require the action to regulators
- Tracking of all compliance and risk reviews and internal audit reports and follow up actions in MSAR
- Coordination with CMA and other local authorities
- Update and amendment of internal policy and procedures in MSAR
- Regulatory updates training to employees in MSAR
- Annual review of customer accounts
- Support recruitment process with President & CEO in MSAR and related staff
- Take responsibility for any other ad-hoc job tasks to be requested by President & CEO in MSAR
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Implement the compliance monitoring program for the assigned regulations on timely manner and report its finding
- Compliance check to ensure that customers / vendors of doubtful intentions are not accepted in relationship
- Advice business for all compliance related queries on timely manner by ensuring that the reply is based on the applicable regulations and policies and procedures
- Response for regulatory inquiries with CCO in MRHQ
- Employee code of conduct and various employee declarations in coordination with Head of Administration and CCO in MRHQ for MRHQ employees
- Support CCO for tracking of events within MRHQ which require the action to regulators
- Tracking of all compliance and risk reviews and internal audit reports and follow up actions with CCO in MRHQ
- Coordination with MISA and other local authorities with CCO in MRHQ
- Working together with CCO for update and amendment of internal policy and procedures in MRHQ
- Regulatory updates training to employees in MRHQ
- Annual review of customer accounts
- Support recruitment process with CCO in MRHQ and related staff
- Take responsibility for any other ad-hoc job tasks to be requested by CCO in MRHQ
- Guide and Assist by working on all periodical required reports on a timely basis
- Drafting the periodical required reports as maker and any report based on MRHQ
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Ensuring capture and documents all related incidents/finding/updates as per the reporting template standard used internally
- Responsibilities will straddle both MSAR and MRHQ
- Adhere to the Policies & Procedures which set out the permitted activities and ensure you conduct yourself accordingly, when acting in a dual hat capacity
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Responsibility for identifying and resolving where there may be a difference or conflict in needs, between MSAR and MRHQ, escalating where required
- Bachelors Degree or equivalent
- Great organisational and time management skills
- Excellent communication skills
- Strong numerical and analytical skills
- Customer-centric career experience
- Demonstrable ability to innovate, support change and problem solve
- Collaborative nature to contribute to a successful team performance
- Sound knowledge of the Banking Industry
- High level of computer literacy and skills in data manipulation / presentation
- Language skills are an asset, but not essential
- Positive and Proactive
- Flexibility
- Sense of responsibility / commitment
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