Ib Compliance Assistant Manager

2 weeks ago

Kuala Lumpur, Malaysia RHB Banking Group Full time

Working Hour
- Regular Hours
- Monday - Friday- Business Area
- Compliance- Location
- Malaysia - Kuala Lumpur- Description

**Primary Objective**:

- Facilitate and assist the Team Lead of Capital Market Review & Advisory (“CMRA”), Group IB Compliance to manage compliance requirements for RHB Investment Bank’s (“RHBIB”) capital markets activities and operations.

**Key Responsibilities**:
Key Individual Accountability:

- Assist the Team Lead to establish, maintain and monitor compliance standards and framework of RHBIB’s capital markets’ businesses and operations to manage compliance risks.
- Assist to accurately report and on a timely basis any non-compliance to the Chief Compliance Officer, Group IB Compliance for further action.
- Assist the Team Lead to identify and implement compliance solutions to address non-compliance issues relating to RHBIB’s capital markets activities.
- Assist the Team Lead on the effective dissemination of new or revised rules, regulation or compliance issues to the relevant capital markets business units.
- Assist the Team Lead in ensuring effective implementation of compliance objectives and annual work plans (including carrying out any planned periodic or thematic reviews).
- Display teamwork and work closely with other team members for the planned deliverables and capital market business units (e.g. review of submissions to regulators etc.), as and when required.
- Providing advisory to the capital markets business units on the applicability of internal policies and guidelines as well as the relevant rules and regulations of Bank Negara Malaysia (“BNM”), Securities Commission Malaysia (“SC”) and Bursa Malaysia Securities Berhad (“Bursa Securities”).
- Assist the Team Lead in the drafting and finalization of internal policies and guidelines.
- Assist the Team Lead in the preparation of learning materials as well as planning and conducting of training to the capital markets business units.
- Assist the Team Lead by providing support for the liaison with regulators.

Key Shared Accountability:

- Business Departments/Divisions of RHBIB
- Work closely with Debt Capital Markets, Corporate Finance, Mergers & Acquisitions, Equity Capital Markets, Research, Client Coverage Private Sector and GLC & Public Sector to seek overall input on the measures implemented by IB Compliance for RHBIB to ensure effective internal controls are in order to minimize the risk of non-compliance.
- Work closely with Group Secretariat, Group Legal and Group Internal Audit on any non-compliance issues.
- Requirements

**Requirements**:

- Bachelor Degree - Bachelor or Master’s Degree or Professional Qualification in the relevant discipline
- Minimum 5 years’ compliance experience in a large and complex organization in the financial services industry.
- Experience in regulatory compliance advisory will be an added advantage.
- Good understanding of capital markets business activities.
- In-depth knowledge of latest rules and regulations related to capital markets including the latest regulatory requirements and guidelines issued by SC and Bursa Securities pertaining to capital market activities.
- Must be a self-starter and able to work under pressure and with minimum supervision.
- Strong communication and inter-personal skills as the function requires interaction with different departments within the Bank.
- Good drafting skills is a MUST.
- Benefits

Dental, Education support, Miscellaneous allowance, Medical, Loans, Sports (e.g. Gym), Parking, Vision, Regular hours, Mondays - Fridays, Casual Business Wear, Performance Based Rewards

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