Mohd Aidi Alfian Mohd Amin
Compliance Expert With 15+ Years In Banking Industry
Petaling Jaya
Summary
Strong leader and problem-solver dedicated to managing daily Compliance operations and promote organizational efficiency. Uses independent decision-making skills and sound judgment to positively impact Bank's overall culture. Resourceful Manager offering history of success coordinating and monitoring operations across various departments. Highly committed with hardworking mentality to maintain quality of services.
Overview
22
22
years of professional experience
Work History
Assistant Manager
The Bank of Nova Scotia Bhd. (Malaysian subsidiary of Scotiabank Canada)
05.2018 - 12.2023
- Ensure the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to Operational Risk, Regulatory Compliance Risk, AML/ATF Risk and Conduct Risk, including but not limited to responsibilities under the relevant frameworks, requirements and guidelines
- Support the Compliance Department and Senior Management in defining and implementing adequate Compliance Network to ensure that the Bank and its subsidiaries are operating within the regulatory framework applicable to business activities, personnel practices and premises
- Assist in ensuring regulatory requirements applicable to the Bank or its subsidiaries are identified and prioritized based on their impact
- Perform planned reviews to provide assurance of compliance to regulatory requirements
- Ensure instances of non-compliance to regulatory regulations are identified, appropriately reported and adequate action plans are developed to ensure corrective actions and non-occurrence
- Assist in ensuring all required reporting activities are completed in accurate and timely manner, which includes compliance reports submission to regulators and to Regional Office/Head Office
- Monthly Management Reporting on Compliance issues
- Compliance & AML Risk Committee (CARC) meeting secretary.
Manager
iCIMB (Malaysia) Sdn. Bhd. (subsidiary of CIMB Group)
04.2015 - 02.2017
- Implementation of effective Risk Assurance & Control Framework within the processing unit to ensure operational risk, compliance and controls are being managed appropriately
- Ensure adherence to Group's Policies and Procedures in the identification, assessment, mitigation, control and monitoring of risk
- Ensure sufficient traction and follow through management actions to mitigate identified operational risk exposure
- Lead and support the Designated Compliance & Risk Officers (DCOROs) to drive operational risk management disciplines
- Ensure proper follow up of issues raised by Group Internal Audit, External Auditors and other relevant internal and external reviewers and address all issues timely
- Engage appropriate stakeholders to ensure timely remedial actions and escalation of situations that pose significant risks
- Conducts training and risk briefings for DCOROs
- Participate in Business Units' Disaster Recovery and Business Continuity Plan discussion and execution
- Monthly Management Reporting on Risk & Control issues.
Audit Manager, Group Shared Service
AmBank (M) Berhad
12.2006 - 03.2015
- Assist Audit Portfolio Head in the supervision of the Audit Teams to ensure completion of assignments and timeliness of audit reports
- Executes Annual Audit Plan and monitor the progress of the audit assignments
- Reviews findings and recommendations of Audit Team particularly on non-compliance with management and internal controls, policies and procedures, and report findings
- Assists Audit Portfolio Head in discussion of audit findings and recommendations with Senior Management, Department Heads and Branch Managers
- Preparation of Audit Assignment Plan and draft Audit Report for Audit Portfolio Head's review
- Ensure that appropriate action is taken by the various divisions and branches to correct reported deficiencies, irregularities and non-compliance and institute follow-up action where appropriate
- Provides advice and technical input, where required, on the development and implementation of new accounting credit and operational systems, methods, procedures and internal controls
- Conducts training and pre-assignment briefings for Audit Teams and Team Leads
- Assist Portfolio Audit Head in the preparation of chart and relevant information for presentation to the Audit & Examination Committee (AEC) meetings
- Represent Internal Audit in Business Continuity Plan Committee Meetings
- Group Shared Service/Retail Banking Team Lead/Supervise for Shared Service Departments/Retail Banking audits.
Accounting/Financial Analyst (Executive)
IBM Malaysia Sdn. Bhd.
04.2004 - 01.2006
- Account Operations - Regional IBM Office (Australia and New Zealand) - Operating Expenses (OPEX) Accounts
- Review of monthly provision and accrual listing
- Preparation of monthly account reconciliation.
Trainee Accountant/Analyst
IBM Ireland Product Distribution Ltd.
07.2001 - 07.2003
- Account Operations - Regional IBM Office (Europe, Middle East & Africa) - Software Commission Accounts and Operating Expenses (OPEX) Accounts
- Review of monthly provision and accrual listing
- Preparation of monthly account reconciliation.
Education
Bachelor of Arts - Accounting & Finance
Liverpool John Moores University
Dublin Business School 04.2001 -
Diploma in Business Studies in Accounting -
Kolej Poly-Tech MARA
Kuala Lumpur 04.2001 -
Skills
Operations Management
undefinedRelevant Certification
Certificate in Internal Auditing for Financial Institutions (CIAFIN), 2014, Institut Bank-Bank Malaysia (Institute of Bankers Malaysia), now known as Asian Institute of Chartered Bankers (AICB)
Mailing Address
2, Lorong Melor 1, Kampung Sungai Kayu Ara, Petaling Jaya, 47400, Selangor Darul Ehsan, Malaysia
Personal Information
Nationality: Malaysian
References
- Calvin Chua Hwa Jin, Head of Compliance, The Bank of Nova Scotia Berhad, calvinchuahj@hotmail.com, +6 012-623 9990
- Rudran Sivayanapoopathy, Head, Non-Financial Risk Management - Governance & Reporting, CIMB Bank Berhad, Rudran.Sivayanapoopathy@cimb.com, +60 12-216 1946
Volunteer Experience
- Committee Member of Persatuan Ibu Bapa Guru (PIBG), Sekolah Kebangsaan Damansara Jaya (1), 3 Terms (2018/19, 2019/20 and 2022/23)
- Chairperson of Persatuan Ibu Bapa Guru (PIBG), Sekolah Kebangsaan Damansara Jaya (1), 2 Terms (2020/21 and 2021/22)
- Former Treasurer - Residents' Association (PEDUA), Term 2011-2013
- Former Committee Member of Persatuan Belia Tempatan Desa Coalfields, Sungai Buloh
Timeline
Assistant Manager
The Bank of Nova Scotia Bhd. (Malaysian subsidiary of Scotiabank Canada)
05.2018 - 12.2023
Manager
iCIMB (Malaysia) Sdn. Bhd. (subsidiary of CIMB Group)
04.2015 - 02.2017
Audit Manager, Group Shared Service
AmBank (M) Berhad
12.2006 - 03.2015
Accounting/Financial Analyst (Executive)
IBM Malaysia Sdn. Bhd.
04.2004 - 01.2006
Trainee Accountant/Analyst
IBM Ireland Product Distribution Ltd.
07.2001 - 07.2003
Bachelor of Arts - Accounting & Finance
Liverpool John Moores University
04.2001 -
Diploma in Business Studies in Accounting -
Kolej Poly-Tech MARA
04.2001 -
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