Compliance - Quality Control Senior Officer and MIU Senior Officer

1) JD for Quality Control Senior Officer:

EXPECTED END RESULTS

MAJOR RESPONSIBILITIES

1. Quality Review

- Defining Sample size & proceeding with data collection.

- To ensure the unit functions according to the approved QC SOP and bank policies & Procedures.

2. Development & Sustainability

- Responsible for Regular Assessment of Compliance Units functionalities for identifying new areas to be included in QCU Scope.

- Assist QC Manager in identify key metrics, control, and reporting in the AML/Compliance related & other daily operations.

3. Quality Assurance

- To conduct the Compliance units review based on QCU Action Plan and SOP and Present Draft Report to QC Manager.

- Perform quality assurance testing, document and communicate findings with the related units.

- To ensure all rejections/findings are in accordance with approved procedures and Bank Policies, the staff should avoid irrelevant rejections.

4. Proposing Challenges & Recommendations

- Propose regular recommendations & suggestions improving in all units of compliance department to the unit manager.

5. Follow Up

- Strict follow up the cases with related department/units to collect the required data and document and take required decision based on the SOP.

6. Meeting Deadlines & Timely Reporting

- To ensure the review process is conducted within the deadlines are the reports are delivered on time.

7. Coordination

- To Facilitate QCU manager in preparing final review reports

8. Effective Interaction

- To maintain professional & effective communications with the related units.

9. Meetings

- Conducting Closeout meeting with units in coordination with QCU assistant manager.

10. Filing & Record Keeping

- Ensure that the QC unit maintains high quality Record keeping practices in their daily operations.

- Preparing & maintaining MIS's & Databases.

- To ensure all observations have proper support Evidence and Proper chain record keeping available in the Unit.

11. Capacity Building

- Cooperates with, participates in, and supports the adherence to all internal policies, procedures, and practices in support of risk management and overall safety and soundness and the Bank's compliance with all regulatory requirements.

- Maintains a strong working knowledge and adheres to Bank compliance Policies and Procedures and AML Law & regulations.

- Monitors changes in Bank policies, procedures, products, rates etc. Attends ongoing training and meetings as required.

12. Other

- Any other duties and responsibilities assigned by the line manager may be required to meet the goals and objectives of the bank

2) JD for MIU Senior Officer:

EXPECTED END RESULTS

MAJOR RESPONSIBILITIES

1. Manual SAR/STR

Assign STR/SAR reports received by MIU to investigators for investigation and elaborate the case to the investigators in case required.

2. Record Keeping

Ensure to input the suspicious report, received from branches or departments as manual case into the proper records (Central sheet etc.), Enter daily reports and progress report of each case in MIU logs and ensure availability of complete set of files and documents for each case.

3. Follow up

Strict follow up of cases with related branch, department, government authorities and other external bodies/entities to conclude and finalize a case at the right time.

4. STR/SAR Reports with proper Narration

Prepare and follow up the STR/SAR reports reviewing narrations of cases to ensure they are escalated to MIU manager or CCO - MLRO with right decisions.

5. FCCM Narration Review

Ensure the level one alerts completely reviewed based on Deloitte Development Areas for the documents and narrations for each alert of transactions with a proper narration as L2.

6. Maintain Hard/Soft Files

Ensure to maintain a complete set of files always and documents for each case and task in an ordered manner in soft and hard format.

7. Coordination

Cooperate with other Compliance Units to follow up the investigation tasks.

8. Waiver Logs

Ensure to check and control the waiver logs / approvals / instructions and memos in a proper folder issued are accurately maintain by responsible officer of MIU Unit.

9. Huge Deposits

Documents review for huge amounts deposits in private accounts.

10. MIS Report

Responsible to ensure having accurate MIS reports to this unit on timely basis to the MIU Assistant Manager/Manager.

11. Routine

Responsible to supervise and controlling the day-to-day routine for a group of employees working under direct supervision of Officers and Junior officers. Report the irregularities to MIU Manager / Chief Compliance Officer and take further corrective measures.

12. Audit

MIU Audits (Internal & External) reports should be improved within the satisfactory level and amend the deficiencies and set controls to avoid repletion for next year.

13. FCCM Case and Alert Timeline

Ensure that enough narratives are included FCCM alerts and cases as well as in manual cases based on Deloitte recommendations and files exist for each case with closing FCCM alerts with detailed timeline as per MIU SOP.

14. Other

Any other tasks assign by the MIU Manager / Chief Compliance Office

Requirements 1) SKILLS and KNOWLEDGE for Quality Control Senior Officer:

EDUCATIONAL QUALIFICATIONS:

-- Bachelor Degree in Business Administration / Law and related fields

RELEVANT EXPERIENCE:
1. At least 5 years of experience in General banking or 3 years dedicated in Compliance, audit and other related Departments
SKILLS & COMPETENCIES:
1. Strong written and verbal communication skills
2. Excellent interpersonal skills, pleasant personality
3. Proficient to communicate fluently in English and local languages
4. Excellent knowledge of computers, especially MS office programs
5. Basic understanding of general Banking
6. Excellent team player and ability to drive project into completion

2) SKILLS and KNOWLEDGE for MIU Senior Officer:

EDUCATIONAL QUALIFICATIONS
1. Bachelor Degree in Economics / Business Administration / Law
2. Familiarized with bank software, general polices and AML/CFT law and regulation
3. Holder of certificates in banking, if any is preferred
RELEVANT EXPERIENCE
- At least 5 years of experience in General banking or 3 years dedicated in Compliance, audit and other related Departments
SKILLS & COMPETENCIES:
1. Having proper knowledge of Office package and FCCM
2. Proper communication in Dari, Pashto and English Languages
3. To act as a best team leader
4. Work in tough and under pressure environment

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