Assistant Vice President, Commercial Banking - Risk Control Unit MY

• To check and confirm that information/data given on the issues are correct

• Once the issues are understood and confirmed, start creating the issues in CIM Module/ShARP/GRC

• After all are completed, to submit for 'open' approval

• Compile the report and submit to person-in-charge

• Follow up with CBCs for evidence

• Create own evidence through checking in BCS and 1P system

• Go into CIM module/ShARP/GRC to close the issue

• On any breach credit DA or regulatory breach issues

• The letter could also be part of evidence for closure of CIM/LED

• Discuss with the team on issue/ breach detected

• Once confirm on the breach, create LED, submit for 'open' approval

• Liaise with CBC to further understand the case

• Prepare Root Cause Analysis (RCA) report for supervisor's review/ approval

• Once reviewed by supervisor, submit to GLC for approval

• Approved RCA will be attached in the LED once case rectified

• Submit for 'close issue' approval

• Obtained information on Fraud/ breach through CBC/Immediate Supervisor

• To investigate and report to NFRM

• To complete CIBA template, create CIM / LED

• To check on the issues and provide explanation to NFRM / GLC

• Follow-up with RM/CBC for further clarification

• Remediate the issues and notify NFRM/ GLC

• Select samples and perform the testing

• Raise CIM/LED if the results are failed, compile the report and submit to person-in-charge

• Attend to samples requested by NFRM/GLC/GCAD on quarterly CET conducted (centralised and by CBC)

• Obtained email/ data from Group Finance (GF) - RRU

• Send email to RM/CBC for explanation/clarification

• Reply to GF-RRU as per stipulated deadline

CIMB