CM/MGR/DM - Compliance Risk Assessment - Bank

Compliance Risk Assessment (CM / MGR / DM)

- Managing compliance risk assessment framework in accordance to regulatory guidelines

- Conducting assessment of the compliance risk and develop a risk-oriented activity plan for compliance assessment

- Carrying out testing, monitoring, studies, transaction based analysis, returns monitoring, onsite reviews, off-site reviews and any other activity relating to risk assessment

- Review and assessment of processes and SOPs from compliance risk perspective

- Reporting to the CCO the outcome of assessment and compliance risk level in various businesses and operations

- Maintaining a dashboard of bank-level compliance risk with waterfall till activity level

- Preparation and submission to CCO the monthly, quarterly, half-yearly and annual reports on compliance risk

- Coordination with Operational Risk and Internal Audit departments and business compliance officers to ensure holistic assessment of compliance risk

- Ensuring rectification of gaps identified in the assessment and submit compliance report to the CCO

- Preparation of annual report on compliance risk assessment covering the Bank and its subsidiary