Compliance Supervisor

Full Time Phnom Penh Posted 2 weeks ago

Risk & Compliance

Main Responsibilities

  • Oversee and monitor the implementation of the Corporate Compliance Program;
  • Assure the compliance with NBC Prakas and other law and regulations across the bank-wide;
  • Report on a regular basis reviewing progress on the program
  • Periodically revise and update the program;
  • Develop and communicate the objectives of the Compliance Program and report accomplishments ongoingly;
  • Develop and implement a Compliance training plan and ensure all staffs get compliance training for their awareness;
  • Ensure there is no significant variation between Wing Internal control and regulators’ requirements;
  • Investigate internal compliance variation, complaints and coordinate action plans with other departments;
  • Re‐evaluate areas of previous deficiency to identify improvements;
  • Develop policies and programs that encourage staff to report suspected fraud or impropriety without fear of retaliation;
  • Ensure the corrective measures are in place and strictly adherwith
  • Ensure blacklist are updated on a monthly basis
  • Access records relevant to compliance monitoring activities and reports findings;
  • Maintain a log of communications received relevant to compliance;
  • Establish and communicate reporting procedures and reporting modes available (e‐mail, voicemail, suggestion box, etc.);
  • Be responsible for creating a compliance checklist for highlighting the potential and/or non-compliance risk areas to the management;
  • Keep updated the Compliance Policies and Operational Guidelines according to the new NBC Prakas and other rules and regulations;
  • Issue compliance guidelines and process manual for branch implementation;
  • Be responsible for CDD process monitoring and STR submission to NBC if any;
  • Perform KYC checked for corporate account opening in accordance with compliance requirement;
  • Ensure our merchant upgrade and downgrade are properly accessed and performed;
  • Perform monthly account issue monitoring;
  • Provide support to the relevant department to solve any problem regarding to compliance perspective; and
  • Responsible for FATCA requirement and reporting
  • Other tasks assigned.

Job Requirements

  • At least 3-5 years knowledge of NBC Prakas relevant to operations, process transactions and internal control
  • Relevant bachelor degree, legal is a plus
  • Good English Language
  • Strong written and verbal communication and problem-solving skills, including the ability to deal with all seniority levels within line of business
  • Strategic and investigative thinking
  • Supervisory/management experience
  • Knowledge with FATCA requirement and reporting
  • Interested applicants meeting the above requirements should