Compliance Supervisor

Mô tả Công việc
PURPOSE AND SCOPE
Maintain and intensify the company's control environment, manage operational risks to ensure assets and income streams are appropriately protected in compliance with laws, regulations and company's policies.
Ensure that company businesses comply with Laws, Regulation and Policies as well as provide guidance for departments on matters relating to compliance.
Maintain compliance manual and procedures with key policies and understanding of regulations to provide consultancy and guidance.
Update compliance materials and provide COC/ ethic training.
Propose and/or trace implementation disciplinary action(s).
Ensure that procedures, systems are up-to-date and effective by setting, reviewing, updating, developing, proposing new compilation as well as amendment or cancelation of SOPs
Ensure that the compliance risks are identified and well handled.
A. Performance
Duties and responsibilities include, but are not limited to:
Risk Management
Develop and lead operational risk assessment to ensure significant risks are identified and managed in effectiveness;
Provide input on risk factors for area of responsibilities and other issues to assist in continuous risk assessment.
Control Activities:
Actively participate in establishment of new policies, procedures and business processes / system implementations to ensure that proper controls are embedded;
Perform/ support all internal control activities related to the design, maintenance and evaluation;
Help to coordinate activities related to internal audit to increase efficiency and effectiveness of business process;
Participate as an advisor to senior manager and process owners to implement action plans to remediate identified control deficiencies and improve the overall control environment;
Lead Internal control reviews including updating control documentation and providing oversight to executed remote testing.
Training:
Provide / lead trainings to business process owners/ internal auditors on minimum control requirements and best practices;
Update compliance materials and provide COC training on a periodic basis
Provide training to compliance staff.
Fraud Risk Assessment:
Provide support to the company's anti-fraud programs.
Prepare Compliance reports
Ad-hoc tasks or additional tasks assigned by Head of Compliance & Legal
B. CUSTOMER SATISFACTION
Get satisfaction from all departments/ business units
C. OPERATION EXCELLENCE
Effectively manage actual time (compare budget time)
Efficiently cost management (compare budget cost)
D. HUMAN RESOURCE MANAGEMENT
To provide training and coaching for teams.
To utilize teamwork and activities to develop department synergy.
Performance assessments.