Head, AmInvestment Compliance

2 days ago

Kuala Lumpur, Kuala Lumpur, Malaysia AmBank Group Full time 120,000 - 180,000 per year

The Compliance Officer is responsible for the formulation, implementation, and holistic management of the Compliance Programme for AmInvestment Bank ("the Entity"), which comprises Equity Markets, Private Banking, Corporate Finance, Capital Markets Group, Equity Capital Markets, Derivatives Markets, Equity Derivatives, and Research Business.

This role ensures that all business segments within the Entity operate in full compliance with applicable regulatory requirements and internal policies of AmBank Group. The Compliance Officer will play a critical role in identifying, assessing, and mitigating compliance risks, while fostering a strong compliance culture across the Entity.

Key Responsibilities:-

Compliance Programme Management

  • Develop, implement, and maintain a comprehensive compliance framework tailored to the Entity's business segments.
  • Ensure alignment with AmBank Group's compliance policies and regulatory expectations.

Regulatory Adherence

  • Monitor and interpret relevant laws, regulations, and guidelines issued by regulatory bodies (e.g., BNM, SC, Bursa Malaysia).
  • Advise business units on regulatory changes and their implications.

Risk Identification & Mitigation

  • Conduct compliance risk assessments and recommend appropriate controls.
  • Collaborate with business units to address and remediate compliance gaps.

Training & Awareness

  • Design and deliver compliance training programmes to promote awareness and understanding across all levels of staff.
  • Provide guidance and support to business units on compliance-related matters.

Monitoring & Reporting

  • Perform regular compliance reviews and surveillance activities.
  • Prepare and present compliance reports to the Board of Directors and senior management.
  • Escalate significant compliance issues in a timely and effective manner.

Stakeholder Engagement

  • Liaise with regulators, auditors, and internal stakeholders on compliance matters.
  • Represent the Entity in regulatory engagements and industry forums as required.

Requirements:-

  • Bachelor's degree in Law, Finance, Business Administration, or related field.
  • Minimum 8–10 years of experience in compliance, legal, or risk management within financial services, preferably in investment banking.
  • Strong understanding of Malaysian regulatory landscape and capital markets.
  • Proven ability to manage complex compliance programmes and interact with senior stakeholders.

Skills & Competencies

  • Excellent analytical and problem-solving skills.
  • Strong communication and interpersonal abilities.
  • High level of integrity and ethical standards.
  • Ability to work independently and manage multiple priorities.
  • Proficiency in compliance systems and tools.

Licenses and Certifications (Compulsory Requirements)

  1. Module 11 and relevant SIDC Modules as determined by regulated activities
  2. Relevant AICB Certification

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