WP. Kuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia
I was a deputy manager doing education and examination. I onboard candidates to study financial planning, get examination and get them licenses. Service existing and new members liase with all insurance, asset management, bankers, lawyers, engineer, university, health care, government or regulatory. Visiting corporate, business partner, education provider and university to negotiate agreement and pricing with them. Get the candidate onboard, arrange for classes, examination , arrange for lecturer to teach Arrangement of meetings with the board committe, minutes the meeting, etc
Spearheaded all activities of Key Risk Indicator (KRI), Key Control Testing (KCT) and Risk Control Self Assessment (RCSA) Ensure checking and controlling, including KCT and KRI sample testing. Tracking detailed operational risk issues/incidents to respective BU/FLs are reported in Operational Risk Management Systems (ORMS) Facilitate in arranging periodic awareness and training to disseminate key operational risk and regulatory matters. Supervise a team of three staff on information, policies, procedures pertaining to matters related to/received from Operational Risk, Compliance and Audit. Follow up audit findings and to prepare progress status report to be tabled on monthly basis in the Forum. Manage the process and review the OM. Tracking the full compliance on consecutive leave, e-learning and feedback on Employee Engagement Survey Questionnaire Requirements. Manage the process of all licenses issued by SC and registration with FIMM in relation to all regulated activities carried out by Fund Management. Processing the forms/documents for licensed holders for Regulators submission. Monitoring trainings attended by licensed holders and following up with them on CPE & CPD points collected and certificates received. Manage the process of yearly FIMM renewal Following up with licensed holders on completion of the Declaration Fit and Proper by License Representative Forms for renewal of their licenses. Annual compliance review (ACR)to be submitted to FIMM yearly. Spearheaded all activities of RSAF and CAC to compliance. Manage and assist in RA and BiA of my department
• Service customer efficiently and effectively on all enquiry including loan and refering wealth products to sales staff when encounter potential customer. • Onboarding/Opening account for customer by performing KYC, EDD, CDD on customer using specify system to track AMLA and details of customer Gather more information on customer. • Procedure of opening account and documents to obtain. • Daily operation activity on deposit and withdrawal, FD maintenance, credit card enquiry, government bond and security, CPF top up and maintenance account, • Ensure effective and efficient administration of day to day operation in line with SOP across all support functions • Batching report and daily balancing day end to be perform. . Performing tellering during branch operation hours and customer service. multi function on branch.