Wealth Compliance & Investigations Manager

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

Job summary

Hong Leong Bank in Malaysia seeks an experienced investigations professional to lead reviews of client complaints within Wealth Management. You will work with cross-functional teams to determine breaches of policies or regulations and draft formal outcomes for regulators.

The role emphasizes preparing regulatory submissions, identifying systemic gaps, and proposing remedial actions. Strong stakeholder engagement and a Malaysian banking background are essential.

Qualifications

• Malaysian citizen or right to work in Malaysia.
• Undergraduate degree in Accounting/Banking/Investment/Finance or related field.
• Strong command of Malay, English and Chinese (oral & written).
• Experience in wealth products (bonds, unit trusts, structured products, FX and insurance) preferred.

Responsibilities

• Lead investigations into client complaints, reviewing transaction history, emails, and call records.
• Collaborate with Customer Advocacy, Relationship Managers, Product, Branch staff, and Legal/Compliance to gather facts and assess policy/regulatory breaches.
• Draft formal investigation outcomes, propose settlements or remedial actions where needed.
• Identify systemic gaps and recommend process improvements in Wealth Management journeys.
• Design and execute dispute resolution plans and consider complex settlements or ex-gratia payments when appropriate.
• Draft legally robust executive responses and investigation reports for regulators or senior management.
• Assess breaches of internal policies or market conduct rules and prepare regulatory submissions within policy timelines.
• Act as SME for formal FIMM and FMOS submissions; review and finalize sensitive case dossiers.

Skills

Attention to detail

Interpersonal skills

Conflict resolution

Pressure resilience

Clear communication

Education

Undergraduate degree in Accounting/Banking/Investment/Finance

Job description

Hong Leong Bank in Malaysia seeks an experienced investigations professional to lead reviews of client complaints within Wealth Management. You will work with cross-functional teams to determine breaches of policies or regulations and draft formal outcomes for regulators.

The role emphasizes preparing regulatory submissions, identifying systemic gaps, and proposing remedial actions. Strong stakeholder engagement and a Malaysian banking background are essential.