Brco - Ib Operations

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

**Primary Objective**:
Assist Head of SBG, through the Head of BA/FA, on the following:

- Cultivating and enhancing risk and compliance culture within Group IB Operations (BG/FG)
- Reviewing and advising all Teams / Circles / Division in BG/FG on operational risk, imposition of controls and compliance to requirements
- Ensuring that all staff and Capital Markets Services Representative Licence holders (if any) within BG/FG are trained in relation to applicable rules and procedures in their respective specialized area to ensure compliance to both Compliance and Risk matters and that they adhere to in-house policies, guidelines and procedures

Identifying, investigating, handling and resolving regulatory and operational non
- compliances breaches, if required.

**Key Responsibilities**:
Risk and Control Self-Assessment / KRI / KCT/ LDC / BCM - systems & process management
- Establish a holistic framework comprising compliance and risk management tools and processes across BG/FG to identify, assess, measure, monitor and mitigate operational risk exposure / likelihood
- Ensure effective implementation of these tools and processes
- Ensure BG/FG fulfills all tasks related to its business continuity
- Establish an effective partnership with Group Operational Risk Management in managing the BG/FG’s operational risks to be in line with business objectives
- Monitor and ensure all operational risk and non-compliance of regulatory obligation incidences within the BG/FG are reported and escalated in a timely manner in accordance to Incident Management Loss Data Collection (IMLDC) Guidelines
- Monitor and track the LDCs raised within the BG/FG and ensure timely closure.
- Monitor and ensure closure for all internal /external audit and regulatory findings.
- Provide advice to all departments within the BG/FG on risk mitigation measures within operations especially on high-risk areas

Regulatory Compliance / Governance
- Establish an effective partnership with Group / IB Compliance in managing the BG/FG’s regulatory compliance risks to be in line with the Group’s business objectives
- Provide advice to the BG/FG on regulatory compliance risk mitigation measures in operations to ensure no non-compliance breaches or non-recurrence of compliance breaches
- Participate in SBG strategy sessions to ensure that compliance risks have been accounted for and are in line with business objectives

Risk & Compliance Awareness Training / Knowledge
- Develop & provide training on risk management & compliance awareness to all levels of staff and Capital Markets Services Representative Licence holders (if any) in BG/FG to promote an effective risk & compliance culture across the BG/FG

Monitor completion of mandatory learning programs of all personnel in the BG/FG
- Requirements

**Requirements**:
Bachelor Degree - Minimum Bachelor’s degree in a related discipline.
- AML/CFT-related certifications would be an advantage
- Minimum 10 years of overall working experience
- Experience in areas of Compliance, Operational Risks & Controls in Investment Banking (preferably) or in a financial institution would be an advantage
- Experience and knowledge in AML/CFT and Retail & Institutional Equities, Broking & Derivatives products would be an added advantage
- Intimate working knowledge within overall Group IB and Group IB Operations, in particular
- Excellent analytical, oral, written and interpersonal skills

Good stakeholder management and ability to work with stakeholders from all levels of management
- Benefits

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