1. CIM/ LED report submitted by CBCs (including ad-hoc CIMs)
• 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
2. Closure of issues in CIM/ShARP/GRC
• 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
3. Prepare Explanation/ Advice Letter and obtain approval from supervisor
• On any breach credit DA or regulatory breach issues
• The letter could also be part of evidence for closure of CIM/LED
4. Create 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
5. Closure of LED
• Approved RCA will be attached in the LED once case rectified
• Submit for ‘close issue’ approval
6. Fraud/ FSA breach
• Obtained information on Fraud/ breach through CBC/Immediate Supervisor
• To investigate and report to NFRM
• To complete CIBA template, create CIM / LED
7. CIM validation by NFRM / GLC
• 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
8. Centralised CET
• 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)
9. Ad-hoc project assigned by supervisor from time to time basis
10. Update Consequence Management register for further action, when required
11. SREF/CCRIS reporting
• Obtained email/ data from Group Finance (GF) - RRU
• Send email to RM/CBC for explanation/clarification
• Reply to GF-RRU as per stipulated deadline
