Senior Officer, Compliance
Risk Management and Compliance
October 31, 2021
- Senior Officer, Compliance is responsible for executing the compliance duties and functions, ensuring that effective internal controls are maintained in the Branches.
- The purpose of this position is to monitor compliance with AML/CFT law and Prakas and other related guidelines.
Compliance With AML &CFT
- Supervise and provide coaching to the subordinate (Special Grade and Clerk);
- Assist Head of Department to perform daily, weekly and monthly AML/CFT compliance review for all customers’ transactions of the assigned branches including data/report/information collection from branches, and analyzing branches’ transactions;
- Immediately report any detected suspicious transactions to Head of Department;
- Identify any compliance control weaknesses for remedial action by management;
- Check branch’s compliance of AML/CFT policies and procedures;
- Conduct due diligence on suspicious transactions;
- Assist to draft monthly AML/CFT report for assigned branches;
- Assist to draft the annual risk assessment report on AML & CFT to NBC;
- Assist in drafting and updating AML & CFT program;
- Assist to draft the response to the AML & CFT Questionnaire from Correspondent Banks;
- Conduct the KYC/CDD Questionnaire to Correspondent Banks;
- Maintain records and documents of AML/CFT review;
- Fully understand AML/CFT policy and guideline and relevant policies;
- Act as liaison with branches on AML & CFT issue.
Compliance on NBC’s regulation and law
- Keep up to date the compliance checklist regarding to the new and change of law or prakas;
- Conduct quarterly compliance check with NBC’s Law and Regulation for concerned departments;
- Prepare and draft report for any compliance issues or non-compliance for Head’s review and reported to RMCC;
- Maintain proper records of NBC compliance review and documents.
Capabilities and experience
- Bachelor’s degree in Accounting, Finance, CAT, ACCA, or other related field,
- At least 2 years of relevant experiences,
- Good commend in written and spoken English,
- Computer literate, in particular MS-Office application,
- Maintain a high level of confidentiality,
- Good communication skill, and pleasant personality,
- Honesty and hard working.
How to apply
If you would like to apply for this vacancy, email your cover letter and CV to :