Manager, Risk Management and Surveillance

Responsibilities

• Responsible to Program (based on risk rating matrix within Compliance Matrix) 
• Plan and perform testing as per Compliance Monitoring Program on a quarterly basis
• Perform due diligence checklists for all new staff and directors
• Conduct Annual due diligence of directors, HODs, appointed representatives and selected personnel 
• Preparation and filing of Form 3A, 8 and 16 for Appointed Representatives process and update of records like Representatives Register
• Responsible to keep track of declarations for staff, appointed representatives, HoDs and respective personnel
• Monitor Gifts and Entertainment Disclosure Register for all staff
• Responsible to maintain organisation Key Risk and Control Matrix, Enterprise Risk Management Framework and Risk Appetite Statements
• Ensure BCP is up to date including maintenance of BIA and RAR
• Plan and conduct BCP and disaster recovery exercises for business functions and at organisation level
• Conduct internal control risk surveillance to ensure internal and operational controls are in place e.g. access control checks, email usage checks, tenant insurance renewal checks, banker guarantee renewal checks, regulatory certification for buildings renewal checks
• Responsible to maintain and updating of the "Master Tenants List"
• Conducting the run of AML/KYC reports when required and/or per regulatory requirements
• Conduct periodic training and assessment for employees on AML/CFT when required and/or per regulatory requirements
• To assess and conduct periodic review of all outsource service providers to ensure organisation interest are addressed appropriately
• Responsible to maintain the outsourcing register and collaborate with business functions to address the potential business risk

• Degree in Banking, Accountancy or Business with at least 5-8 years of experience in Enterprise Risk Management and Compliance surveillance role