Manager, Regional Wealth Management (Business Compliance)

Hong Leong Bank Berhad; Kuala Lumpur; On-site; MYR 180,000 - 300,000; Full time

Job summary

Hong Leong Bank Berhad seeks a Manager, Regional Wealth Management (Business Compliance) to ensure adherence to internal policies and Malaysian guidelines. You will bridge Business and Group Compliance, oversee audits, and implement robust risk controls.

The role also designs training programs, coordinates regulatory information, and supports day-to-day compliance queries while fostering a proactive risk-aware culture across the division.

Qualifications

• Bachelors degree in business, banking, finance, law, or related discipline.
• 10 years of experience in financial services with focus on risk management, internal controls, or compliance.
• Strong understanding of wealth management products, services, and regulatory risks & controls (AML/CFT, investment suitability, data privacy, market conduct).
• Familiar with BNM regulatory requirements and guidance (Technology Risk Management Guidelines, Business Continuity Management Guidelines).
• Hands-on experience with RCSA and audit management.

Responsibilities

• Support embedding and operation of the bank's Compliance framework and control policies within the Division per Malaysia regulation guidelines.
• Act as the primary liaison between the Business and Group Compliance, supporting day-to-day compliance queries and devising appropriate compliance and audit solutions.
• Review new/revised regulatory guidelines, Board Policies, Procedures and product launch documents for alignment with compliance standards.
• Design and deliver engaging compliance training programs for employees to promote a proactive risk-aware culture.
• Serve as a primary contact during internal and external audits, coordinating documentation and ensuring timely remediation of audit findings.
• Coordinate regulatory information requests during discussions, meetings, and audits.
• Ensure immediate reporting and escalation of non-compliance incidences, complaints, or misconduct to Group Risk and Group Compliance.
• Build relationships with key stakeholders (Group Compliance, Group Risk, Group Operations & Technology, Legal, Group Internal Audit) to implement policies and procedures.

Skills

Audit coordination

Regulatory knowledge

Risk management

Training design

Stakeholder management

Education

Bachelors degree in business, banking, finance, law, or related discipline

Tools

RCSA

Audit management

Job description

Manager, Regional Wealth Management (Business Compliance)

The Manager of Business Compliance for Regional Wealth Management plays a critical role in ensuring that all division units adhere to internal policies and Malaysian regulatory guidelines. As the primary liaison between the business and Group Compliance, this individual actively manages audits, implements effective risk controls, and provides responsive solutions to day-to-day compliance queries. Furthermore, the role involves designing engaging training programs to cultivate a strong, proactive culture of compliance and risk awareness among all staff.

Job responsibilities

Support the effective embedding and operation of the bank's Compliance framework and control policies within the Division, per Malaysia regulation guidelines.

Act as the primary liaison between the Business and Group Compliance, supporting the business with day-to-day compliance queries and devise appropriate, responsive compliance and audit solutions.

Review new/revised regulatory guidelines, Board Policies, Procedures and product launch documents to ensure alignment with compliance standards.

Design and deliver engaging compliance training programs for employees to promote a proactive risk-aware culture.

Serve as a primary point of contact during internal and external audits, coordinating the gathering of documentation and ensure timely remediation of any audit findings.

Coordinate regulatory information requests during discussions, meetings, and internal/external audits.

Ensure immediate reporting and escalation of non-compliance incidences, complaints, or misconduct to Group Risk and Group Compliance.

Build a close working relationship with key stakeholders (Group Compliance, Group Risk, Group Compliance, Group Operations & Technology (including Legal), Group Internal Audit, and other business and functional units) to help implement and enforce policies and procedures

Establish and share best practices referencing competitor benchmarks. Customize and deliver effective training on risk management, control procedures, and compliance for the department.

Partner with process owners to design, implement, and validate the effectiveness of controls.

Identify root causes of control failures and take appropriate measures to rectify weaknesses immediately.

Support in any other tasks related to RWM Business Compliance as and when required by the Management.

Job Requirements

Bachelor’s degree in business, banking, finance, law, or a related discipline.

Excellent command of spoken and written English.

10 years of experience in financial services, with a strong focus on risk management, internal controls, or compliance within a First Line of Defence capacity, preferably in Wealth Management or Private Banking.

Strong understanding of wealth management products, services, and associated operational and regulatory risks & controls e.g., AML/CFT, investment suitability, data privacy, market conduct, sales conduct

Familiar with BNM regulatory requirements and guidance (e.g., Technology Risk Management Guidelines, Business Continuity Management Guidelines).

Hands-on experience with Risk and Control Self-Assessment (RCSA) and audit management.

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.

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