Circle Lead, Regulatory Compliance Assurance

Develops, initiates and maintains the annual compliance review plan taking into consideration of the following: o 208 branches across Malaysia o 212 business/functional areas across the bank o Forward-looking, current or emerging risk relating to regulations across all sectors o Annual risk rating results derived from the Compliance Risk Assessment Model (CRAM) o New regulations that have been issued or updated by the regulators and fully implemented by the Bank within the past year o Gap assessments on updated and new regulatory requirements o Regional entities under the bank o Past incidences / non-compliances  Always keep abreast with the latest regulatory updates, trends and best practices.

 Collaborates with business/functional areas to appropriately evaluate and investigate compliance issues/concerns identified during the review.  Work closely with BRCOs and the business/functional areas to develop/implement corrective action plans for resolution of compliance issues/concerns.  Monitors the performance of the annual compliance review plan and ensure appropriate steps are taken to accommodate any adhoc activities/requests from the regulators.

 Ensure reporting of violations or potential violations are documented and reported to Board and Management. Peer Relationship Position Titles / Parties Nature of Interactions GCGC other Section Head and team members Exchanging information Internal Relationship Position Titles / Parties Nature of Interactions 3  Provides reports on a regular basis, and as directed or requested, to keep the Board and Management informed of compliance issues/concerns.

Subject matter expertise  Provide expertise and guidance to team members  Support best practice sharing across teams  Resolve any escalated customer related issues e.g. complains, approval Resource planning  Play an “Air traffic control” role, coordinate shift/leave schedule between team members  Balance resource allocation across team based on demand and priorities  Ensure attendance and adherence of team member (with regards to work schedule)  Support the CoE/ Chapter / Circle to hire for required skillset Team mgmt.

and coaching  Help empower the team to work independently & self-manage  Support the team in removal of obstacles  Work with Circle/Chapter Lead to ensure team is performing well and help to identify ways to improve skillset within the team  Support career and skills development of team by defining a clear development plan & trainings  Conduct reviews & evaluations on of team member's performance  Provide on-the-ground coaching and guidance for all team members  Coordinate/lead trainings for team members  Raise common issues faced by either the team or customer to the Chapter/Circle Lead Standard enforcement  Ensure team members follow the standards and practices of their functional expertise  Ensure key information is cascaded and necessary documentations are created (reports)  Support implementation of any initiatives at the team level