Regional Compliance Manager - Sahiwal & Sargodha

Sahiwal, Pakistan

First point of contact for branches for Compliance advisory and all Compliance related matters.
Providing on-site assistance to branches via Compliance advisory, coaching and guidance at Region/District/Branch level and monitoring on FCC/AML/CFT & Regulatory matters, KYC/CDD/EDD at on-boarding & periodic reviews and resolution of discrepancies.
Providing guidance, awareness and continuous practical training to branches on
PEP, NGO/NPO/Charity/Trust/Society accounts – on boarding & periodic reviews
Queries regarding prohibited country approvals
Queries related to customers in negative lists
Resolution of Compliance related discrepancies at on-boarding of accounts
Handling of alerts raised by Transaction Monitoring Unit
Guidance and coaching of field staff through training and awareness on significant FCC/AML/CFT & Regulatory themes at Region/District/Branch level.
Assisting and following-up with branches by providing guidance for remediating KYC quality issues highlighted by various Compliance units and educate and guide branches to conduct proper periodic reviews with a holistic approach and remediation on accounts, with specific focus on high risk accounts.
On sample basis, validation of remediation by branches of KYC findings and observations highlighted during Compliance reviews as well as significant regulatory instructions directly applicable to the branches & internal circulars (Implementation Level Gaps) and provide guidance to branches to effectively and timely address the requirements, while all high risk accounts under various Compliance reviews to be validated.
Creating awareness for compliance of significant new regulatory instructions directly applicable to the branches.
Develop text and video advisories on themes pertaining to FCC/AML/CFT/KYC/CDD/EDD & Regulatory themes for guidance and education of field staff.
Review of physical forms/source documents for a sample of newly on boarded accounts, with specific focus and review of NGO/PEP/other category accounts, on-boarding as well as periodic reviews.
Conduct focused trainings/ training & awareness sessions on KYC/CDD/EDD themes as well as other FCC/AML/CFT/Regulatory aspects derived on the basis of Compliance Reviews & SBP Inspections, via branch visits in assigned Region(s), online and face to face sessions at Cluster / Region / District / Branch level.
Assist in the rollout and implementation of the Group Compliance policies and procedures.
Follow-up on critical & time sensitive RFIs as assigned by LEA Coordination Unit (HO) as well as supporting & guiding branches in furnishing information and documentation required by other Compliance functions.
Assist branches in closure of overdue outstanding SBP inspections, SO’s and other observations related to regional level resolution.
Acting as coordinator for branch inspections conducted by BSD, SBP.
Identify opportunities for the continuous and sustainable improvement of the Compliance processes based on risks and control deficiencies identified, if any.
Coordinating with internal stake holders, engaging with senior field hierarchy in respective Cluster/Region/Districts/Branches for all Compliance related matters and attending meetings to discuss and address FCC/AML/CFT/Regulatory Compliance related matters in the Region(s) and provide updates to business on compliance requirements, on-going reviews, best practices, regulations and regulatory changes.
Any other assignment given by the Supervisor/DH/GE.