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

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