Regulatory Affairs jobs in Malaysia

Key Responsibilities:

• Supervise Remisiers (Commissioned Dealers Representatives) to monitor performance and ensure governance based on prevailing laws and statutes, rules, regulations, policies, procedures and guidelines
• Recommend, formulate, review and enforce all policies and procedures relating to Remisiers to ensure consistency, relevancy and compliance.
• Contribute in all strategies, plan and initiatives relating to Remisiers productivity, growth and development.
• Monitor performance to drive growth by recommending initiatives (e.g., campaigns) to boost productivity and conducting reviews of underperformers.
• Oversee governance and application processes for dealer mobility as well as TR/MR matters.
• Support the recruitment and onboarding of Remisiers.
• Assist in surveillance and investigations related to Dealers’ conduct.
• Organize the sales convention for Remisiers.
• Oversee administrative functions related to Remisiers, including medical insurance, attendance records, and other related matters.

Requirements:

• A Bachelor's degree in Finance, Banking or Business Management.
• Minimum 3 years’ experience in stockbroking/banking industry. Prior experience supervising dealer representatives or in a similar role is an added advantage.
• Possess analytical skills and in-depth knowledge of the securities industry.
• Good written and verbal communication skills.
• Solid understanding of key banking processes.

*Only shortlisted candidates will be notified.