Team Lead, Capital Market Review & Advisory

RHB Bank; Kuala Lumpur; On-site; MYR 120,000 - 180,000; Full time

Job summary

A leading financial services institution is seeking a Team Lead, Capital Market Review & Advisory to oversee compliance for capital market activities. The role involves ensuring compliance standards, guiding a team, and liaising with regulators to maintain capital market integrity. With a focus on leadership and expertise in compliance, the ideal candidate will have strong communication skills and a significant background in navigating the complexities of financial regulations.

Qualifications

• Minimum 7 years’ compliance experience in large financial organizations.
• At least 3 years’ experience in a managerial role.
• Good understanding of capital markets transactions and regulations.

Responsibilities

• Establish and monitor compliance standards for capital markets operations.
• Provide accurate reporting of non-compliance to relevant heads.
• Oversee drafting of internal policies and ensure effective communication of compliance rules.

Skills

Strong communication skills

Interpersonal skills

Good drafting skills

Ability to work under pressure

Education

Bachelor or Master’s Degree in relevant discipline

Job description

Team Lead, Capital Market Review & Advisory

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Facilitate and assist the Head of Capital Markets & Non-Broking Supervision (“Head of CMNBS”), IB Compliance to manage compliance requirements for RHB Investment Bank’s (“RHBIB”) Capital Markets activities and operations.

Key Responsibilities:

Key Individual Accountability:

Establish, maintain and monitor compliance standards and framework of RHBIB’s capital markets’ businesses and operations to manage compliance risks.

Provide accurate reporting on a timely basis of any non-compliance to the Head of CMNBS and Chief Compliance Officer, Group IB Compliance for further action.

Identify and implement compliance solutions to address non-compliance issues relating to capital markets activities.

Oversee and review the input of Compliance Risk Assessments for business units under CMNBS’s purview.

Oversee and ensure effective dissemination of new or changes of rules, regulation or compliance issues to capital markets business units.

Able to undertake the drafting and finalization of internal policies and guidelines.

Overseeing and guiding the CMRA team in the provision of 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”).

Preparing and updating the annual compliance plan for the CMRA team.

Provide direction, coaching, guidance, motivation, support, training and feedback to the CMRA team member to ensure effective implementation of compliance objectives.

Display teamwork and work closely with other Senior Management personnel and capital market business units at all times.

Liaise with regulators to understand their expectation and for guidance.

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.

Requirements:

Bachelor Degree - Bachelor or Master’s Degree or Professional Qualification in the relevant discipline

Minimum 7 years’ compliance experience in a large and complex organization in the financial services industry.

Experience liaising/working with regulators will be an added advantage.

At least 3 years’ experience in leading teams/managerial role and accountable for the performance and results of the team.

Good understanding of capital markets transactions.

In-depth knowledge of latest rules and regulations on capital markets including the latest regulatory requirements and guidelines issued by SC and Bursa Securities pertaining to capital market activities.

Must be a self-starter and able to work under pressure and with minimum supervision.

Strong communication and inter-personal skills as the function requires interaction with different departments of the Bank and Senior Management.

Good drafting skills is a MUST.

Facilitate and assist the Head of Capital Markets & Non-Broking Supervision (“Head of CMNBS”), IB Compliance to manage compliance requirements for RHB Investment Bank’s (“RHBIB”) Capital Markets activities and operations.

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.