Wealth Management Compliance & Investigations Lead

Hong Leong Bank; Kuala Lumpur; Sur place; MYR 120 000 - 180 000; Plein temps

Résumé du poste

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

Responsabilités

• 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.

Connaissances

Wealth products knowledge

Attention to detail

Interpersonal skills

Conflict resolution

Multilingual (Malay/English/Chinese)

Formation

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

Malaysian citizen

Description du poste

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.