Sh, Review

5 days 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**:
Facilitating and managing the compliance requirements for RHB Investment Banking(“RHBIB”) Group.
**Key Responsibilities**:
**Key individual accountabilities**
- To monitor and review dealings and business conduct by clients and Dealer’s Representatives/Futures Broker Representatives in the Securities and Futures market to ensure adherence with the relevant Rules & Regulations and in line with RHBIB’s policies.
- Establish, maintain and monitor compliance standards of RHBIB to manage compliance risks.
- Timely and accurate report compliance and non-compliance to the Head of IB Compliance for further action.
- Identify and implement compliance solution to address non-compliance issues.
- Effective dissemination of new or changes of Rules, Regulation or compliance landscape.
- Proactively conduct training, initiative and stakeholder engagement to cultivate compliance culture.
- Provide direction, coaching, guidance, motivation, support, training and feedback to the team member to ensure effective implementation of compliance objective.
- Display teamwork and work closely with other Senior Management personnel at all times.
- Provide advisory services to keep Employees appraised of policies, procedures, regulatory requirements and how to comply with such requirements.
- Liaise with Regulators to understand their expectation and for guidance.
**Key shared accountabilities**
- Work closely with Securities and Futures business line to ensure full compliance.
- Work closely with Internal Audit to address non-compliance issues.
- Work closely with Group Risk Management on non-compliance issues.

**Requirements**:
**Requirements**:Bachelor Degree - Accountancy/Finance/Banking or equivalent.
- SIDC Module 6, 7, 11, 14 & 16

Minimum 5 years’ experience in Capital Market

Possess good business sense, motivated and team player; able to work under minimum supervision.

**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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