Manager, Business Control (RWM Compliance)

Hong Leong Bank Berhad; Kuala Lumpur; On-site; MYR 120,000 - 180,000; Full time

Job summary

Hong Leong Bank Berhad is seeking a seasoned investigator to lead thorough reviews of client complaints within Wealth Management. You will analyze transaction histories, collaborate with multiple teams, draft formal outcomes, and propose settlements or remedial actions where necessary.

You will diagnose systemic risks, design dispute strategies, draft legally robust final responses, and ensure regulatory submissions are accurate and timely.

Qualifications

• Malaysian citizen
• Good understanding of wealth products (Bonds, Unit Trust, Structured Products, Foreign Exchange and Insurance)
• Minimum Undergraduate degree in Accounting/Banking/Investment/Finance or related field
• Good command of Malay, English and Chinese (oral and written)
• Keen eye to details, highly motivated and result-driven
• Excellent interpersonal skills, exceptional conflict resolution skills and the ability to remain calm under pressure

Responsibilities

• Lead/Independently review reviews of client complaints across investigations by analyzing transaction history, recorded lines, and emails to reconstruct events.
• Partner with Customer Advocacy, Relationship Managers, Product teams, Branch staff to gather facts and determine if internal policies or regulatory requirements were breached.
• Draft formal investigation outcomes that are clear and professional; propose fair settlements or remedial actions where necessary.
• Diagnose Systemic Risk or issues within the Wealth Management journey and recommend process improvements to prevent future complaints.
• Design and execute strategic dispute resolution plans; autonomously propose complex settlements, ex-gratia payments, or removals where gaps identified.
• Draft high-stakes, legally robust final response letters and executive-level investigation reports.
• Evaluate complex operational or advisory failures to determine if internal policies, market conduct rules, or regulatory requirements were breached.
• Prepare case dossiers and regulatory submissions for regulators, FMOS and related mediation bodies within required timelines.
• Act as SME for all FIMM and FMOS submissions; chair cross-functional meetings to align perspectives before responses.
• Independently review, endorse and finalize highly sensitive case dossiers and regulatory submissions for compliance and accuracy.
• Engage senior stakeholders to negotiate resolutions and align organizational positions on high-impact dispute strategies
• Ensure all cases are properly logged and closed on time per policies and guidelines.
• By investigating complaints thoroughly, help keep the firm compliant with regional laws.
• Help prevent escalation to public forums or external ombudsmen to protect brand reputation.
• Conduct root cause analysis of any systemic gaps.

Skills

Wealth products knowledge

Attention to detail

Interpersonal skills

Conflict resolution

Multilingual (Malay/English/Chinese)

Education

Undergraduate degree in Accounting/Banking/Investment/Finance or related field

Malaysian citizen

Job description

If you are looking to excel and make a difference, take a closer look at us…

Functional (job responsibilities)

• Investigative Analysis: Lead/Independently review reviews of client complaints. This includes analyzing transaction history, recorded lines, and email correspondence to reconstruct events accurately.
• Stakeholder Collaboration: Partner with Customer Advocacy, Relationship Managers, Product teams, Branch staff to gather facts and determine if internal policies or regulatory requirements were breached.
• Resolution & Communication: Draft formal investigation outcomes that are clear and professional. You will propose fair settlements or remedial actions where necessary.
• Root cause assessment: Diagnose Systemic Risk or issues within the Wealth Management journey and recommend process improvements to prevent future complaints.
• Dispute Resolution Strategy Formulation: Design and execute strategic dispute resolution plans. Autonomously propose complex financial settlements, ex-gratia payments, or commercial remediations where systemic gaps or service failures are identified.
• Executive Response Drafting: Draft high-stakes, legally robust, and professional final response letters and executive-level investigation reports.
• Breach Assessment: Evaluate complex operational or advisory failures to definitively determine if internal policies, market conduct rules, or regulatory requirements were breached.
• Regulatory Reporting: Ensure all cases are logged and closed within the strict timelines mandated by policies and guidelines. Including the preparation of case dossier submission to regulators, FMOS and other mediation in mediation intermediaries.
• Appointed Regulatory Liaison: Act as the primary appointed subject matter expert (SME) for all formal FIMM (Federation of Investment Managers Malaysia) and FMOS (Financial Ombudsman Scheme) submissions.
• End-to-End Submission Review: Independently review, endorse, and finalize highly sensitive case dossiers and regulatory submissions, ensuring absolute technical accuracy and compliance with strict external regulatory timelines. At times, chair cross-functional working groups or meetings across Wealth Management, Product, Operations, Customer Advocacy, and Legal/Compliance to synthesize facts and align organizational positioning prior to response. This may include senior stakeholder engagements across the bank to align perspectives, negotiate fair resolutions, and gain consensus on high-impact or sensitive dispute strategies

Organizational (organizational responsibilities)

• By investigating complaints thoroughly, the function ensures the firm remains compliant with regional laws.
• Preventing issues from escalating to public forums, social media, or external ombudsmen, which could damage the brand's prestige
• Proper root cause assessment if there are systematic gaps.

Education/Qualification

• Malaysian citizen
• Good understanding of wealth products (Bonds, Unit Trust, Structured Products, Foreign Exchange and Insurance).
• Minimum Undergraduate degree in Accounting/Banking/Investment/Finance or a related field from any recognized colleges or university.
• Good command of Malay, English and Chinese (both oral and written)
• Keen eye to details, highly motivated and result-driven
• Excellent interpersonal skills, exceptional conflict resolution skills and the ability to remain calm under pressure.

Experience

• 10 years' experience in similar capacity, preferable in Banking or Wealth Management
• Good understanding of wealth products (Bonds, Unit Trust, Structured Products, Foreign Exchange and Insurance).

About Hong Leong Bank

We are a leading financial institution in Malaysia backed by a century of entrepreneurial heritage. Providing comprehensive financial services guided by a Digital-at-the-Core ethos has earned us industry recognition and accolades for our innovative approach in making banking simpler and more effortless for our customers. Our digital and physical offerings span across a vast nationwide network in Malaysia, strengthened with an expanding regional presence in Singapore, Hong Kong, Vietnam, Cambodia, and China.

We seek to strike a balance between diversity, inclusion and merit to achieve our mission of infusing diversity in thinking and skillsets into our organisation. Candidates are assessed based on merit and potential, in line with our mission to attract and recruit the best talent available. Expanding on our "Digital at the Core" ethos, we are progressively digitising the employee journey and experience to provide a strong foundation for our people to drive life-long learning, achieve their career aspirations and grow talent from within our organisation.