Head, Business Monitoring

6 days ago


Kuala Lumpur, Kuala Lumpur, Malaysia Maybank Investment Banking Group Full time
Head, Business Monitoring & Review - BCCO

To spearhead the Business Monitoring & Review and report to Head, Business Compliance & Control Office (BCCO).

RESPONSIBILITIES

Quality Assurance

  • Supervise the overall functions/roles undertaken by the Quality Assurance unit on the following areas:
  • Anti-Bribery & Corruption
  • Other scope – PDPA, FEP, FATCA/CRS, Conflict of Interest, Stockbroking related matters

Regulatory/Audit/Compliance Matters

  • Track, validate and monitor the status of all issues highlighted by Regulator, Internal Audit, Compliance or any other parties on MIBMY
  • To establish tracking and monitoring mechanism to monitor the status of all issues highlighted including the regulatory breaches
  • Prepare and submit report on the status to the Senior Management

Reporting

  • Prepare management reports for submission to relevant parties such as Group Compliance / IB Compliance and cosec

Ad-Hoc

  • Actively participate in any projects/initiative assigned to the department
  • Other tasks assigned by Head, BCCO

REQUIREMENTS

  • Minimum 10 year experience in banking and capital market industries.
  • Candidate with audit / compliance review background
  • Well versed with Investment Banking / Capital Market regulatory requirements on capital market activities including stockbroking, AMLCFT/Sanction and AB&C areas
  • Able to work independently as well as in team
  • Experience in project management will be an added advantage
  • Proficient in MsExcel, MsWords and MsPower Point
Seniority level

Mid-Senior level

Employment type

Full-time

Job function

Analyst, Finance, and Other

Industries

Financial Services, Banking, and Investment Banking

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