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Regional / Area Compliance Controller
Compliance Department, Faisalabad, Gujranwala, Karachi, Lahore, Multan, Rawalpindi, Sargodha, Bahawalnagar, Bahawalpur, Gujrat, Pak Pattan Sharif, Rahimyar Khan
Apply By Apr 30, 2017
Job Description (total positions: 13, posted on: Apr 15, 2017)

·         Visit of the branches assigned in the region /area as per the prescribed frequency, including offsite support as & when required.

·         Communication/discussion of the observation noted in the branches with the Branch Management or Regional manager, where deemed necessary, for immediate rectification.

·         Ensure maximum spot rectification of the noted observations and discuss the reasons of the noted observations with BM/OM/AM/RM to ensure its mitigation in future.

·         Ensure rectification of observations raised by Audit and internal control onsite review teams and make efforts for improvement in Branch audit ratings.

·         Ensure compliance of procedural requirements as stated in Bank’s policies/SOPs or required by PRs.

·         Make analysis whether or not branches have shown improvement in the areas highlighted in the previous visits and take corrective measures.

·         Reporting Gaps to the Head of Compliance at least on monthly basis:

o   Gaps noted on the branches including status of compliance.

o   Serious observations/areas in the branches to be attended on priority basis.

o   List of staff in the region requiring training in the Banking areas where they have deficient banking knowledge including TNA.

o   False compliance of observations (Audit and OSR) including names of responsible staff.

o   Recommendations to AM/RM/HO for improvement in Branch operations.

·         Provides knowledge support and guidance to the branches on all operations related matters.

·         Ensure all operations staff of the branches is aware of internal and external regulatory requirements relevant to their banking assignment.

·         Monitoring and report the aspect of conflict of interest to the RM and if not resolved to Head of Compliance.


·         Ensure any observation raised by internal audit and compliance and internal control is not repeated.

·         Provide feedback and suggestions:

1- For improvement in design and implementation of internal controls;

2- Staff competency and their training needs.

·         On the job training of staff with respect to implementation of internal controls and support to Training in respect of trainings needed in the area. If any of the staff member does not show improvement after necessary trainings, then his personal credential to be reported onward for necessary decision making.

·         Coordination with All departments within bank for support in order to rectify audit observations and addressing control gaps identified.

·         Have close co-ordination with branches during internal audit, risk/Compliance reviews and SBP inspections. Attend the exit meeting in person.

·         Provide feedback to RM/AM for appraisal of branch operations staff including BM.

·         Attend monthly BM/AM/RM level meetings as applicable.

·         Will provide hands on training to Ops. Staff in branches (where applicable) in coordination with the bank training department.

·         Attend TOT Program as a potential trainer.

·         Work as a Team player and evolve as a candidate to achieve a higher level of assignment.

·         Perform any other assignment entrusted by the Management/Head of Compliance


Required Skills

Internal Controls

Banking/Financial Services
Field Operations
Job Type
Full Time/Permanent ( First Shift (Day) )
No Preference
27 - 45 Years
Minimum Education
Degree Title
MBA / M.Com/
Career Level
Experienced Professional
Required Experience
5 Years - 10 Years