Manager - Compliance Division
askaribank
مجموع سنوات الخبرة :23 years, 2 أشهر
Assist compliance head to administer all processes and procedures and ensure working within regulation framework and develop and implement all policies and recommend ways to minimize risk
Analyze all changes recommend and identify appropriate area in administration and coordinate with functional area to implement all changes and document same
Coordinate with management to design all corrective plans and implement same and assist all internal assurance audits and pre audits according to requirement and perform incident investigations for same
Prepares compliance audit data by compiling and analyzing internal and external information
Complies with federal, state, and local legal requirements by studying existing and new legislation; enforcing adherence to requirements; advising management on needed actions
Conduct periodical monthly reviews of assigned branches covering prudential regulations and internal policies.
Work parallel with branch for rectifications of exceptions in Internal Audit Department and provide proper guidance for rectification of same.
Prepare Compliance review reports and detailed comments outlining audit scope, results and recommendations for corrective actions for review of Branch managers.
Review Account opening functions specifically in relation to regulations & guidelines of central bank regarding Know Your Customer and Anti Money Laundering.
Review transactions, documents, records, reports and methods for accuracy and effectiveness, compliance with internal policies and procedure, compliance with prudential regulations, during audit assignment.
Submission of monthly reports of exceptions and rectifications of compliance, report of detected and rectified audit observations and visit reports directly to Head of Compliance Unit
Assist in internal control evaluation and implementation of auditing and compliance strategies for the organization.
Conduct periodic internal audits (including surprise audits and follow up audits) of the assigned areas (branches, units and departments) as per the directions of functional head in accordance with the agreed schedule and time frame.
Prepare audit reports and detailed comments outlining audit scope, results and recommendations for corrective actions for review of managers.
Review transactions, documents, records, reports and methods for accuracy and effectiveness, compliance with internal policies and procedure, compliance with prudential regulations, during audit assignment.
Assist the audit manager in reviewing policies and procedures and recommend changes as per the best practices and improving built in controls.
Assist in internal control evaluation and implementation of auditing and compliance strategies for the organization.
Checking of various issues relating to inland banking, micro financing and internal controls.
Accounts Opening/Monitoring
Clearing Procedure
Transfer of Funds/Remittances (TT)
Voucher Making / Posting / Supervision
Deposit Handling
Cheque Book Maintenance
Data Backup/Recovery on Media
Start of Day & End of Day
Reporting to Head Office
Profit/Mark up Calculation
Salary Disbursement in Staff A/c
Loan Documentation / Visits
Loan Disbursement / Recovery
Govt. Taxes and Procedures
Proper Filing of Correspondence
Branch’s Correspondence
Achieved 2nd position all over Pakistan in training programme held by training division regarding Banking training
Major Responsibilities
Nostro Accounts Maintenance
Rebate on Mt 100/202 Monitoring
SWIFT Handling / Checking
Select Deposits Interest Rates
Monthly Export Statement to SBP
Reconciliation with Treasury
F.C. Loan Status to Head-Intl. Banking
Training Procedure of staff
Hotel Arrangements for staff
Pole Signs Maintenance of Bank
Studying MBA in Finance from KASBIT-Khadim Ai Shah Bukhari Institute of Technology Current GPA: 3.9 Courses Completed till now: Financial Management, Analysis of Financial Statements, Business Finance, Business Maths, Business Statistics, Financial & Cost Accounting, Micro and Macro Economics, Business Communication, Management, Marketing, Computer Concepts, Business Law