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IB Compliance Officer, Capital Market Review & Advisory

RHB Banking Group

Kuala Lumpur

On-site

MYR 60,000 - 90,000

Full time

Yesterday
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Job summary

Join a leading financial services group as an IB Compliance Officer where you will establish and monitor compliance frameworks for capital market operations. The role involves reporting non-compliance, conducting risk assessments, and advising business units on internal policies and regulations. This position is critical to ensuring the effectiveness of compliance within the organization as it navigates the regulatory landscape in Malaysia.

Qualifications

  • Experience in compliance within capital markets.
  • Strong knowledge of regulations from BNM and SC.
  • Ability to provide advisory on compliance issues.

Responsibilities

  • Establish and monitor compliance standards for capital markets.
  • Report non-compliance issues to senior management.
  • Implement solutions for compliance challenges.

Skills

Compliance Standards
Regulatory Reporting
Risk Assessment
Teamwork
Policy Drafting

Education

Bachelor's Degree in Finance or related field

Job description

IB Compliance Officer, Capital Market Review & Advisory

Add expected salary to your profile for insights

  • Assist to establish, maintain and monitor compliance standards and framework of RHBIB’s capital markets’ businesses and operations to manage compliance risks.
  • Able to accurately report and on a timely basis any non-compliance to the Head of Capital Market and Non-Broking Supervision (“CMNBS”) and Chief Compliance Officer, Group IB Compliance for further action.
  • Able to identify and implement compliance solutions to address non-compliance issues relating to RHBIB’s capital markets activities.
  • Able to conduct the effective dissemination of new or revised rules, regulation or compliance issues to the relevant capital markets business units.
  • Ensuring effective implementation of compliance objectives and annual work plans (including carrying out any planned periodic or thematic reviews).
  • Able to review and provide input for Compliance Risk Assessments of Business Units under CMNBS’ purview.
  • 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”).
  • Able to undertake the drafting and finalization of internal policies and guidelines.
  • Able to prepare learning materials as well as conducting training to the capital markets business units.
  • Providing support for the liaison with internal audit and regulators.

Key Shared Accountability:

  • Business Departments/Divisions of RHBIB
  • Work closely with Debt Capital Markets, Corporate Finance,Mergers & Acquisitions, Equity Capital Markets, 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.
Unlock job insights

Salary match Number of applicants Skills match

Banking & Financial Services More than 10,000 employees

The RHB Banking Group is the fourth largest fully integrated financial services group in Malaysia. The Group’s core businesses are streamlined into seven main business pillars, namely Group Retail Banking, Group Business & Transaction Banking, Group Wholesale Banking, Singapore Business Operations, Group Shariah Business, Group International Business and Group Insurance.

Group Wholesale Banking comprises Corporate Banking, Investment Banking, Client Coverage, Group Treasury & Global Markets, Asset Management and Private Equity. All the seven business pillars are offered through the Group’s main subsidiaries, RHB Investment Bank Berhad, RHB Islamic Bank Berhad and RHB Insurance Berhad, while its asset management and unit trust businesses are undertaken by RHB Asset Management Sdn. Bhd. and RHB Islamic International Asset Management Berhad.

The Group’s regional presence now spans ten countries including Malaysia, Singapore, Indonesia, Thailand, Brunei, Cambodia, Hong Kong, Vietnam, Lao PDR and Myanmar. It is RHB Banking Group’s aspiration to continue to deliver superior customer experience and shareholder value; and to be recognised as a Leading Multinational Financial Services Group.

The RHB Banking Group is the fourth largest fully integrated financial services group in Malaysia. The Group’s core businesses are streamlined into seven main business pillars, namely Group Retail Banking, Group Business & Transaction Banking, Group Wholesale Banking, Singapore Business Operations, Group Shariah Business, Group International Business and Group Insurance.

Group Wholesale Banking comprises Corporate Banking, Investment Banking, Client Coverage, Group Treasury & Global Markets, Asset Management and Private Equity. All the seven business pillars are offered through the Group’s main subsidiaries, RHB Investment Bank Berhad, RHB Islamic Bank Berhad and RHB Insurance Berhad, while its asset management and unit trust businesses are undertaken by RHB Asset Management Sdn. Bhd. and RHB Islamic International Asset Management Berhad.

The Group’s regional presence now spans ten countries including Malaysia, Singapore, Indonesia, Thailand, Brunei, Cambodia, Hong Kong, Vietnam, Lao PDR and Myanmar. It is RHB Banking Group’s aspiration to continue to deliver superior customer experience and shareholder value; and to be recognised as a Leading Multinational Financial Services Group.

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