Manager, RED - Sales Control MY Manager, RED - Sales Control MY …

CIMB Malaysia
in Kuala Lumpur, Kuala Lumpur, Malaysia
Permanent, Full time
Be the first to apply
Competitive
CIMB Malaysia
in Kuala Lumpur, Kuala Lumpur, Malaysia
Permanent, Full time
Be the first to apply
Competitive
Manager, RED - Sales Control MY
Sales Compliance


  • Carry out the implementation of the RCSA programme within the business and support units, and ensure that the RCSA is updated with the relevant regulatory requirements and tested accordingly

  • Ensure the Group Compliance Policy and Procedures and legal and regulatory requirements are communicated to all staff

  • Perform the regulatory gap analysis for the new and/or updated legal and regulatory requirements and take appropriate action plan to close the identified gaps

  • Ensure the internal policies and procedures and/or standard operating procedures are updated to address any new and/or updated legal regulatory requirements, where applicable;

  • Review and follow-up on any legal and regulatory non-compliance issues escalated within the respective business and support units for appropriate closure.

  • Support the VP Sales Compliance in the remediation exercise for all relevant guidelines (in relation to business and support functions in RED) issued by regulators and where appropriate to identify feasible resolutions to control weaknesses and opportunities for improvement.



  • Assist in the implementation and adoption of appropriate and effective risk based monitoring practice; especially in the use of control effectiveness testing on areas related to compliance and regulatory risk issues.


Qualifications


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