Risk and Control Specialist
Tanfeeth LLC
Total years of experience :10 years, 6 Months
❑ Handling of all risk related activities such as updating questionnaire assessment, preparing PPT for risk dashboard & risk champion forum, capturing key risk indicator values, preparing & publishing overtime report & quality output, reviewing unit access profile & leave reconciliation and attending any ad hoc request
❑ Analyzing & designing an overall risk management process respectively for each unit such as Account Opening, Account Maintenance, Customer Screening, Signature Capture and High-Risk Annual Review
❑ Conducting risk assessment & evaluation based on the current risk profile of each unit
❑ Identifying potential risk leading to any Financial & Non-Financial loss, Regulatory/Compliance, Customer Service & Reputational risk
❑ Reviewing of any new process, process changes & current process, highlighting gaps & risk and enhancing controls
❑ Updating business continuity management as per the current requirement & situation
❑ Maintaining an accurate records of all risk related activities
❑ Conducting root cause analysis wherever applicable
❑ Helping the unit to promote risk awareness amongst the staff
❑ Providing exceptional support & appropriate training within the unit
❑ Liaising with internal & external stakeholders, auditors, etc.
❑ Conducting quality checks, reconciliation & audits
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Review all alerts generated every month which are closed as False Positive from maker and checker comments. If any inconsistency is made upon closing the alert or an alert is wrongly escalated or closed therefore error should be mark for maker, checker or both.
Role as Maker/Checker (Level 1)
Ensure and justify customers information if matching or not matching with the hit ID provided by the system and able to decide if alert to be taken as False Positive or if alert to be escalated to L2 to its respective segment.
Responsible for ensuring all necessary documents provided at pre-approval stage, conducts all banks system checks, updating notepad and moving deals to underwriting for approval/decision making.