Manager, Group Prudential Supervision & Regulatory Affairs

Kenanga Investment Bank; Kuala Lumpur; On-site; MYR 200,000 - 250,000; Full time

Job summary

A leading investment bank seeks a Manager for Group Prudential Supervision & Regulatory Affairs in Kuala Lumpur. The role includes developing compliance frameworks, engaging with stakeholders, and overseeing risk management. Ideal candidates will possess significant experience in financial services and compliance functions.

Qualifications

• Minimum 8 to 10 years of working experience in the financial services / capital market industry.
• At least 5 years of working experience in a compliance function.

Responsibilities

• Develop and update the Compliance Matrix of all relevant departments.
• Review internal Policies and Procedures to ensure proper governance.
• Provide support during regulatory audits and assessments.

Skills

Compliance Supervision

Regulatory Advisory

Stakeholder Engagement

Operational Risk Management

Education

Degree in Business, Economics, Law

Securities Industry Development Committee (SIDC) Preparatory Courses

Job description

Manager, Group Prudential Supervision & Regulatory Affairs

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Provide structured regulatory and compliance advice/support to Kenanga Group through development and implementation of regulatory and compliance frameworks and on-going advisory.

Provide support to Head, GPSRA in engagement with internal and external stakeholders on regulatory, compliance, and internal control matters.

KEY RESPONSIBILITIES

1.Compliance Supervision and Review

Develop and update the Compliance Matrix of all relevant departments to reflect relevant regulatory and statutory requirements, to incorporate adequate policies and procedures to facilitate/ensure compliance with the respective regulatory/legal requirement, to reflect appropriate risk level for non-compliance with regulatory/legal requirements.

Ensure follow-up action arising from regulatory issuances are undertaken and recorded in internal database.

2.Regulatory Compliance and Governance Advisory

Review of internal Policies and Procedures (P&Ps) as an Independent Reviewer to ensure regulatory requirements and proper governance are incorporated.

Escalation of outcome of review to Head, GPSRA.

Facilitate review of responses to industry/public consultations and coordinate submission to regulators and other parties.

Provide support to Head, GPSRA, on a case-by-case basis, in undertaking background research for special projects.

Provide support to Head, GPSRA and GRCS in providing regulatory advisory for business initiatives and arrangements, as and when required.

3.Stakeholder Engagement

Provide support to Head, GPSRA during regulatory audits/assessments.

Provide support to Head, GPSRA in the preparation of regulatory correspondences and communications with regulators and other agencies.

4.Operational Risk and Business Continuity Management Support

Coordinate GRCS’ and GPSRA preparation and submission or the following: (a) GRCS’ Business Continuity Plan (BCP) (also role as one of GRCS’ BCM Coordinators); (b) Business Impact Analysis (BIA), and (c) Risk Assessment (RA).

JOB REQUIREMENTS

Degree in Business, Economics, Law or any other related discipline.

Securities Industry Development Committee (SIDC) Prepatory Courses (relevant modules).

Minimum 8 to 10 years of working experience in the financial services / capital market industry.

At least 5 years of working experience in a compliance function.

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We are an established investment bank that offers a variety of financial products and services. Our range of products and services include corporate finance, corporate and investment banking, equity broking, equity and debt capital markets, equity derivatives and structured products, private equity, treasury and the provision of investment research and advisory services.We strongly believe in investing for the future and the next stage of growth.

We are an established investment bank that offers a variety of financial products and services. Our range of products and services include corporate finance, corporate and investment banking, equity broking, equity and debt capital markets, equity derivatives and structured products, private equity, treasury and the provision of investment research and advisory services.We strongly believe in investing for the future and the next stage of growth.

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