Preamaa Paniker
Kuala Lumpur
Summary
Experienced MBA graduate with over 15 years of working experience in the financial institution and FMCG sectors. Diverse background includes roles in Legal & Compliance in FMCG and Group Internal Audit and Compliance in banking. Certified in Certifications for Bank Auditors (CBA) from the Asian Institute of Charted Bankers (AICB). Skilled in financial reporting, compliance framework, implementing and managing compliance controls, data analytics, and driving initiatives to enhance compliance efficiency. Proven track record of providing consultancy and advisory services on compliance matters.
Overview
9
9
years of professional experience
5
5
years of post-secondary education
4
4
Certifications
2
2
Languages
Work History
Compliance Specialist, for GTR & China and GTR
British American Tobacco
09.2022 - Current
- Engaging with, and communicate to, all levels of the organisation on updates to regulatory compliance developments, policies, standards, procedures, initiatives, risks, KPIs, etc
- Engaging with Leadership Team (LT) on matters related to DRBUs/EMs on regulatory compliance policies, standards, procedures
- Supporting the Global Travel Retail (GTR) business in Third Party Risk Assessments, including company structure deep dive analysis
- Providing counsel on all compliance matter related to Standards of Business Conduct – including Third Party Risk Assessment (AML/CTF, Anti-Bribery & Corruption, Anti-Tax Avoidance, Sanctions), Gifts & Entertainment, Policy Management and GTR business
- Providing counsel to DRBUs/EMs on deviations to compliance policies and procedures
- Ensuring DRBUs/EMs and GTR Policies and Standards are maintained, updated, visible and accessible to Commercial Unit employees
- Coordinating Legal Compliance training cycle plans, also ensuring consistency in training content and modes of training – may include leading employee training sessions on legal and compliance issues
- Review and evaluate company procedures and reports to identify hidden risks or common issues
- Perform periodic testing and monitoring of regulatory compliance controls (adherence to policies and regulations) and recommend effective improvements
- Measure and monitor corrective actions or remediation plans
- Preparing reports/dashboards for Leadership Team on regulatory compliance KPIs, risk and adherence to controls
- Acting as Super User for legal compliance systems, including being the 2nd line of user support, assisting DRBUs/EMs and GTR in developing and implementing systems changes and coordinating user acceptance testing
- Developed the 'Get Well Plan' for GTR and China cluster on all CRA Compliance issues and Onboarding Pre-existing Third Parties
- Support DRBUs/EMs and GTR end users on CRA issues and queries
- Have been involved in all systems/apps enhancements and initiatives including Deviation Request app, GBS Power Bi Dashboard and SAP Concur (APMEA South Pilot)
- Single Point of Contact (SPoC) for all CRA and AFC inquiries to GTR and China cluster end market
- Single Point of Contact (SPoC) for G&E enquiries for APMEA South end market
- Collaborate with BI&C Legal Counsel (G&E) with SAP Concur Finance team for APMEA South Pilot system rollout on G&E control
Business Analyst & Support, GBS Compliance Services
GBS Standard Chartered Bank
08.2021 - 09.2022
- Periodically review changes to procedures required because of new initiatives, new products and ensure all stakeholders impacted are aware of the changes and able to implement new process and procedures
- Create specifications, coordinate feedback from stakeholders and facilitate completion of User Acceptance Testing for all system changes pertaining to host and sub systems
- Adherence to the migration framework and methodology for seamless movement off work from sending to receiving side
- Identify, escalate, and address risks and issues (in collaboration with the Risk Management Lead) that may impact the programs including capacity, resourcing, pacing, stakeholder conflict etc
- Ensure program implementation in accordance with Bank’s guidelines on quality and project management as well as adherence to any regulatory requirements
- Provide governance structure that ensure accountability and enables the predictability of the outcomes across the programmes
- Support effective and timely communication along with collaboration traversing through functions and business
- Work closely with Risk and Governance team to deliver business agenda and change management initiatives
- Design comprehensive training & new joiner programmes to align them with current compliance matters
- As an independent second line risk control function, execute the relevant aspects of the Compliance framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scale and complexity of the Group’s business
- Assist with policy, procedure, and strategic initiatives relating to Gifts and Entertainment (“G&E”) including responding to SBC employee’s queries and provide support on G&E matters
- Lead the team that supports reviewing all G&E registration and provide guidance
- Review and/or approve requests in accordance with SCB Group’s policy requirements related to G&E
- Respond to ad-hoc employee queries and provide support on G&E matters
- Carry out monitoring and assurance activities over G&E processes and prepare various management information reports for G&E analysis
Manager, Governance & Delivery, Group Internal Audit
Standard Chartered Bank
02.2016 - 04.2021
- Review all Key Audit Plan changes across the Group and report to Group Internal Audit (GIA) management team
- Monitor industry risks and provide suitable 'outside-in' challenge to the Audit Plan
- Independently report analysis on Audit Plan Changes periodically to GIA management and Committee Reporting (Audit Committee)
- Monitor the annual audit plan across the Group and update the plan delivery status to GIA management team
- Provide guidance on Audit Methodology queries across the Group GIA auditors that is aligned with the Institute of Internal Audit (IIA) and Industry best practices
- Support effective coordination and delivery of periodic risk assessment and support of the function in defining annual Audit Plan proposals based upon this risk assessment
- Support on the assessment needs off the function, the design of Audit Strategy, Risk Assessments, Audit Planning, and Committee Reporting, and their impact
- Responsible to report and monitor all Key Audit Plan Changes since 2017 to ensure the annual Audit Plan delivery is not compromised
- Responsible to ensure data accuracy for reporting Audit Plan status periodically to Committee Reporting (Audit Committee) and GIA management
- Responsible to report GIA-Quality Assurance Review status to GIA management
- Involved in Risk Assessment and production of Audit Plan proposals since 2019 to reassess the emerging risks as per current year
- Facilitate internal training sessions conducted for GIA via BlueJeans app to ensure the team is updated and coached on any changes to the auditing Standards and Practice.
Education
MBA - Business Administration
Universiti Kebangsaan Malaysia
01.2012 - 01.2014
BA (Hons) - English Language
Universiti Putra Malaysia
01.2001 - 01.2004
Skills
- Analytical skills
- Understanding trends analysis
- PowerPoint presentation
- Compliance monitoring
- Teamwork and collaboration
- Third Party Anti-Financial Crime
- Gifts & Entertainment procedure
- Due diligence
Websites
Certification
1. Foundation Course: Data & Analytics, Citizen Development Academy (BAT)
Timeline
Compliance Specialist, for GTR & China and GTR
British American Tobacco
09.2022 - Current
Business Analyst & Support, GBS Compliance Services
GBS Standard Chartered Bank
08.2021 - 09.2022
Manager, Governance & Delivery, Group Internal Audit
Standard Chartered Bank
02.2016 - 04.2021
MBA - Business Administration
Universiti Kebangsaan Malaysia
01.2012 - 01.2014
BA (Hons) - English Language
Universiti Putra Malaysia
01.2001 - 01.2004
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