Team Member – Compliance & Supervision

Compliance

• To compile all units monthly, quarterly, half-yearly and yearly compliance report for submission
• To compile ad-hoc compliance report, incident, and request from AQM Compliance unit head and Consumer Compliance/Compliance Monitoring or any other business entity.
• Assisting as a gateway when need arises with government agencies/regulator such as LEA / Regulated external party
• Review AQM’s Standard Operating Procedures (SOP) and ensure SOPs align with regulatory requirements and compliance standards.
• To attend to Matched Mule Account Listing (when in need) and distribute to all business units.
• To prepare and circulate internal circulars and guidelines.
• To prepare and perform quarterly clean desk exercises and call tree plan.
• To prepare E-Acknowledgement for internal circulars, guidelines, policies and circulate to all AQM, KBC staff.
• To raise STR and AML Reporting when necessary...