Senior Officer, Compliance Analytics and Modelling

Key Accountabilities (1)

1. Data-Driven Compliance and Risk Monitoring

• Design and implement monitoring scenarios based on transaction data, customer data, internal operational data, and other relevant data sources.
• Perform periodic and ad-hoc data analysis in order to:
• Detect early signs of violations of laws, regulations, and internal policies;
• Identify compliance risks, conduct risks, fraud risks, and abnormal behaviors.
• Monitor and assess compliance risk trends through indicators, alerts, and analytical dashboards.

2. Alert Analysis and Handling

• Review, analyze, and validate alerts generated from monitoring systems and data analytics tools.
• Conduct preliminary assessments, identify root causes, and evaluate the severity of compliance risks.
• Coordinate with relevant units (Business, Operations, IT, Legal, Risk Management, etc.) to clarify, address, and track compliance issues.

3. Development of Monitoring Models, Indicators, and Tools

• Develop and continuously enhance:
• Compliance Key Risk Indicators (KRIs);
• Data-driven monitoring logic, rules, and models.
• Proactively propose automation solutions, advanced analytics, AI/ML, and Generative AI applications for compliance monitoring.
• Coordinate with Technology/Data units to standardize data sources and improve data quality for compliance purposes.

4. Development and Application of AI Agents in Compliance

• Participate in the design, development, and operation of AI Agents for compliance activities, including:
• AI Agents supporting the review of data, transactions, and compliance records;
• AI Agents for automatic aggregation, classification, and prioritization of risk alerts;
• AI Agents supporting pattern analysis, trend detection, and root cause identification of risks.
• Translate compliance and risk management requirements into AI use cases, monitoring logic, and AI Agent workflows.
• Coordinate with relevant units to ensure AI Agent implementation:
• Complies with model governance and technology risk management requirements;
• Ensures data security, AI ethics, and regulatory compliance.

5. Reporting and Management Advisory

• Prepare periodic and ad-hoc compliance monitoring reports for Senior Management and relevant governance committees.
• Provide assessments, early warnings, and recommendations to prevent and mitigate compliance risks.
• Participate in advising improvements to processes, policies, and internal controls based on data and AI-driven insights.

6. Continuous Improvement and Capability Development

• Stay updated on laws, regulations, and best practices related to compliance, AML, anti-fraud, data governance, and AI.
• Participate in internal training and knowledge-sharing initiatives on data-driven compliance and AI Agent applications.