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Job Description
Compliance Analyst - (1900022M)
JOB PURPOSE
Perform a specialist review
on the design of each internal circular (instructions or information) to
ensure regulatory compliance at entry level keeping in view turnaround
times.
To ensure regulatory
compliance at a bank-wide level by timely and accurate compilation and
reporting of Institutional Risk Assessment Framework (IRAF) to the Board
Audit Committee (BAC) & BOD in order to avoid regulatory penalty.
Description
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Review / Vetting &
Advisory on Internal Circulars
§ Assist the Team
Leader in an end to end detailed review of internal circulars (within the
defined turnaround times) referred to Business & Regulatory
Compliance (B&RC) from Business Policies and Procedures (BPP) and HR
to identify, highlight and enable resolution of regulatory and other
discrepancies.
§ The detailed
vetting entails that circulars are compliant with the prevailing laws,
local regulatory requirements & bank’s approved policies and procedures,
are on a standardized format, have a structured layout, represent a
uniform corporate image, are concise in nature, clearly convey the
message, have been drafted in a legible manner and have been concurred by
functional heads.
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Maintenance of Internal
Circulars (Policy Management System PMS – II)
§ Manage the overall
circular log management and number issuance activity to ensure timeliness
and accuracy.
§ Extract and analyze
reports pertaining to:
§ Circulars forwarded
for GC review
§ Circulars received
during the Period
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Validation of Evidences for
Conditional Approvals:
§ In case where
conditional approval has been provided on Internal Circular on the basis
of RTD, validate the evidences provided by respective functions prior to
closure.
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Compilation &
Validation of IRAF (Institutional Risk Assessment Framework)
§ Assist the team
leader in IRAF exercise on a half-yearly basis including coordination
with all business units, follow-up and collation of responses and
consolidation of various IRAF related summaries while ensuring accuracy
and timeliness of the reporting prior to being submitted to Unit Head.
§ Annual validation
of IRAF questions (annexure – wise), by seeking evidences to substantiate
the self-assessed ratings in line with the detailed SOP.
§ Update and
maintenance of IRAF questionnaire in order to keep it aligned to latest
prudential regulations and other relevant SBP guidelines.
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Mapping of SBP Observations
with IRAF
§ Map SBP inspection
observations to relevant IRAF questions and accordingly suggest revision
of rating (if need be). This is a phased exercise to be complete after
receipt of final inspection report from SBP.
§ Conduct discussion
with relevant stakeholders and obtain action plans and RTDs where ratings
are downgraded.
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IRAF Reporting
§ Handle all
reporting or information requests related to IRAF to BAC, BOD, CCM,
senior management, Regulator(s), external audit and internal audit.
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Liaison with Cross
Functions and Other Stakeholders
§ Work closely with
various business units in general and particularly Business Policies and
Procedures (BPP), HR and Islamic Banking divisions in order to provide
technical guidance and recommendations as a subject matter expert on
internal circulars in order to support the timely dissemination of
internal circulars.
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Training & Awareness
§ Actively
participate in bank-wide awareness trainings (Learning & Development
programs, CBT, soft skills, e-learning etc.) to enhance knowledge and
skills.
§ Remaining abreast
with and conversant to revisions in Central Bank regulations/ guidelines,
circulars, notifications and industry best practices and apply knowledge
in daily departmental routine.
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Project Management / Other
Assignments
§ Plan and carry out
any projects / assignments other administrative tasks as advised by Line
Manager/ Unit Head.
§ Act as backup for
Senior Analyst during their mandatory leaves, in order to ensure smooth
functioning of the Circular Vetting & Issuance unit.
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Continuous Improvement
§ Drive and support
the continuous improvement in departmental strategies &
organizational structure using Business Process Re-engineering and other
tools in order to enable efficiencies and enhance productivity.
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Qualifications
Minimum qualifications:
Masters’ Degree from an HEC
accredited institution/ ACCA Affiliate
Minimum experience:
2-4 years of banking
experience preferably in Compliance function.
Primary Location
: PK-SD-Karachi
Work Locations
:
7000-HBL Plaza, HOK
Habib Bank Plaza I.I.
Chundrigar Road
Karachi
Function: Global
Compliance
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