Job Description (JD)
| Nama Program | Pelaksanaan Pematuhan Perbankan (Dalaman) [K641-002-3:2018] |
|---|---|
| Kod CU | K641-002-3:2018-C05 |
| Competency | Core |
| Tajuk CU | COMPLIANCE REVIEW AND SURVEILLANCE |
| Penerangan CU | 5. Compliance Review and Surveillance <CU Code> The Compliance Review and Surveillance is procedure to review and investigate issues related to possible non-compliance or to ensure compliance is taking place for respective business units and departments within a financial institution. The person who is competent in this CU shall be able to produce specific business units review plan, review adherence to regulatory requirements and adequacy of internal controls, assess non-compliance incidents and prepare compliance review report. 1. Produce specific business units review programme 1.1 Respective Business Unit’s Compliance Review and Surveillance program prepared according to approved Compliance Review Annual Plan for immediate superior’s endorsement 1.2 Compliance checklist or templates prepared in accordance with approved review methodology 1.3 Sampling methodology selected for the compliance testing in accordance with compliance surveillance requirements 1.4 Business units liaised for onsite and offsite surveillance proposed dates 1.5 Relevant information gathered to facilitate onsite and offsite review 1.6 Compliance Review and Surveillance program executed onsite and offsite |
| Tempoh Latihan | 350 |
| Objektif Pembelajaran | The outcome of this competency unit is to review and investigate issues related to possible non-compliance or to ensure compliance is taking place for respective business units and departments within a financial institution. Upon completion of this competency unit, trainees shall be able to: 1. Produce specific business units review programme 2. Review adherence to regulatory requirements and adequacy of internal controls 3. Assess non-compliance incident 4. Prepare compliance review report 5. Monitor remedial action on the non-compliance incidents for resolution |
| Pra-Syarat | 0 |