Headquartered in Tokyo, Sumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution and a core member of Sumitomo Mitsui Financial Group (SMBC Group). Built upon our rich Japanese heritage since 1876, we put our customers first and provide seamless access to, from and within the Asia Pacific region. SMBC is one of the largest Japanese banks by assets and maintain strong credit ratings across our global integrated network. We work closely as one SMBC Group to offer personal, corporate and investment banking services to meet the needs of our customers. With sustainability embedded within our strategy and operations, we are committed to creating a society in which today’s generation can enjoy economic prosperity and well-being, and pass it on to future generations.Sumitomo Mitsui Banking Corporation Malaysia Berhad (SMBCMY) JOB DESCRIPTION The Executive Director is to assist the Head of Department for the following responsibilities: <ol style="margin-top:0.0cm;margin-bottom:0.0cm" start="1" type="1"> <li style="margin-bottom:0.0cm;margin-top:0.0cm;margin-right:0.0cm;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Identification, assessment and monitoring of compliance risk</li> </ol> <ul style="margin-top:0.0cm;margin-bottom:0.0cm"> <li style="margin:0.0cm 0.0cm 0.0cm 27.5906px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Identify and assess the compliance risk associated with the Bank’s activities and keep up with material changes in the Bank’s business.</li> <li style="margin:0.0cm 0.0cm 0.0cm 27.5906px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Perform appropriate tests to evaluate the adequacy of internal controls put in place to manage compliance risk and promptly follow up on any identified deficiencies and plans to address such deficiencies.</li> </ul> <ol style="margin-bottom:0.0cm;margin-top:0.0px"> <li style="margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Reporting of compliance risk</li> </ol> <ul style="margin-top:0.0cm;margin-bottom:0.0cm"> <li style="margin:0.0cm 0.0cm 0.0cm 27.5906px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Report to Senior Management and Board Risk Management Committee (“BRMC”) on a regular basis the findings and analyses of compliance risk.</li> <li style="margin:0.0cm 0.0cm 0.0cm 27.5906px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Prompt escalation of compliance issues to the Regional Office, Senior Management and Board Risk Management Committee (“BRMC”).</li> </ul> <ol style="margin-bottom:0.0cm;margin-top:0.0px" start="2"> <li style="margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Advisory</li> </ol> <ul style="margin-top:0.0cm;margin-bottom:0.0cm"> <li style="margin:0.0cm 0.0cm 0.0cm 27.5906px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Advise the Board, Senior Management and Officers on regulatory requirements.</li> </ul> <ol style="margin-bottom:0.0cm;margin-top:0.0px" start="3"> <li style="margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Guidance and training</li> </ol> <ul style="margin-top:0.0cm;margin-bottom:0.0cm"> <li style="margin:0.0cm 0.0cm 0.0cm 27.5906px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Ensure that adequate training is provided to Officers of the Bank on relevant regulatory requirements inclusive of AML/Sanctions governing the Bank’s activities.</li> <li style="margin:0.0cm 0.0cm 0.0cm 27.5906px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">To provide guidance to Officers of the Bank on the implementation of internal controls to manage compliance risk.</li> </ul> <ol style="margin-bottom:0.0cm;margin-top:0.0px" start="4"> <li style="margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Policy and Procedure</li> </ol> <ul style="margin-top:0.0cm;margin-bottom:0.0cm"> <li style="margin:0.0cm 0.0cm 0.0cm 27.5906px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Establish, review and maintain the relevant compliance related policy and procedures, including AML/Sanctions.</li> </ul> <ol style="margin-bottom:0.0cm;margin-top:0.0px" start="5"> <li style="margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Communication</li> </ol> <ul style="margin-top:0.0cm;margin-bottom:0.0cm"> <li style="margin:0.0cm 0.0cm 0.0cm 27.5906px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Liaise with the relevant regulators for Regulatory and Anti-Money Laundering/Countering Financing Terrorism/Countering Proliferation Financing (“AML/CFT/CPF”) matters.</li> <li style="margin:0.0cm 0.0cm 0.0cm 27.5906px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Maintain good communication with the Regional and Head Office’s personnel.</li> </ul> <ol style="margin-bottom:0.0cm;margin-top:0.0px" start="6"> <li style="margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Handling Insource Compliance Functions</li> </ol> <ul style="margin-top:0.0cm;margin-bottom:0.0cm"> <li style="margin:0.0cm 0.0cm 0.0cm 27.5906px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Provides support on the compliance functions to the insourced of compliance activities from branch.</li> </ul> <ol style="margin-bottom:0.0cm;margin-top:0.0px" start="7"> <li style="margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Others</li> </ol> <ul style="margin-top:0.0cm;margin-bottom:0.0cm"> <li style="margin:0.0cm 0.0cm 0.0cm 27.5906px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Provide support and guidance to the Compliance team members.</li> <li style="margin:0.0cm 0.0cm 0.0cm 27.5906px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Involve in compliance related “projects”.</li> </ul> AUTHORITY Liaise with regulator on compliance related matters. POSITION SPECIFICATIONS <ol style="margin-bottom:0.0cm;margin-top:0.0px"> <li style="margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Certified Professional on Regulatory Compliance and AML/CFT/CPF.</li> <li style="margin:0.0cm 0.0cm 0.0cm 0.0px;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Degree in Banking/Finance/Accounting.</li> </ol> <ol style="margin-top:0.0cm;margin-bottom:0.0cm" start="3" type="1"> <li style="margin-bottom:0.0cm;margin-top:0.0cm;margin-right:0.0cm;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">More than 20 years experiences in handling/managing a compliance function of a financial institution.</li> <li style="margin-bottom:0.0cm;margin-top:0.0cm;margin-right:0.0cm;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Strong grasp of banking rules and regulations in both Regulatory and AML/Sanctions areas.</li> <li style="margin-bottom:0.0cm;margin-top:0.0cm;margin-right:0.0cm;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">Strong communication and inter-personal skill.</li> <li style="margin-bottom:0.0cm;margin-top:0.0cm;margin-right:0.0cm;line-height:115%;font-size:12.0pt;font-family:Aptos, sans-serif">People management and coaching skills.</li> </ol>

Executive Director - Compliance (Malaysia) @ Sumitomo Mitsui Banking Corporation

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