Sanction, Name Screening, Payment Screening, Tx Surveillance, Enhanced Due Diligence, Fraud Ops

Compliance related to BNM, Securities Commission (SC), Labuan Offshore Financial Services Authority (LFSA)

ECDD AML/CFT• Conduct KYC, On-Going Due Diligence(“ODD”) and Enhanced Due Diligence (“EDD”) review guided by the recent Bank Negara Malaysia AML/CFT guidelines for individual and non-individual customers.• Perform name screening on customers via Dow Jones Watchlist• Identifies non-individual accounts to highlight high risk jurisdiction, high risk businesses, Ultimate Beneficial Owner (UBOs) and Politically Related Entity (PREs) or Political Exposed Person (PEPs), Special Interest Person (SIP), Special Interest Entity (SIE)• Monitor customer transaction to identify, investigate and raise suspicious activity• Liaise with other business unit (BU) within Bank for any issue that require advise from their side• Prepare memo approval for Politically Related Entity(PRE), Blacklisted, and AML Investigation of non-individual customer for respective business unit such as Community Banking Division, Enterprise Banking Division(EBD), Corporate Banking Division• Carry out department Compliance Matrix (CMAX) and Compliance Self-Assessment Result (CSAR)

-BCM BCP-Risk Assessment & Buss. Impact Analysis (RA BIA)-Keep abreast new regulatory requirements-Identify and report potential of compliance vulnerability and risk-Advice / decide to continue or terminate business relationship as and when required-Conduct AML Tx Monitoring -Review & concur monthly report submission to BNM

-Prepare relevant documents and assist teller/officer for VVIP Standing Instructions (SI) processing-Identify investors background and report to officer in charge if there is any suspicious activity. Notify officer and file Suspicious Transactions Reports (STR)-Ensure new investors comply with Securities Commission(SC) regulations- declare if Politically Exposed Person (PEP)-Administration works at back office operations of ASNB KL Main Counter