Supervision jobs in Malaysia
AVP, Group Compliance (Capital Market Supervision)
Kenanga Investment Bank
Manager, Technology Risk | Risk Specialist and Technology Supervision (RSTS)
Bank Negara Malaysia
AVP, Group Compliance (Capital Market Supervision)
Job summary
A leading financial institution in Kuala Lumpur is seeking an AVP for Group Compliance to support regulatory requirements in investment banking and related fields. The ideal candidate will have at least 5 years of compliance experience and in-depth knowledge of capital market regulations. This role offers opportunities to engage with various departments and enhance compliance practices.
Qualifications
- Minimum 5 years’ compliance experience in a financial institution.
- In-depth knowledge of regulatory requirements on capital markets.
- Sound knowledge of Foreign Exchange Policy (FEP) rules.
Responsibilities
- Conduct independent compliance reviews before submission to regulators.
- Assist in control room matters and policy development.
- Prepare reports on regulatory matters for management and regulators.
Skills
Education
To support and assist the Senior Vice President of Capital Market Supervision, Group Compliance (“SVP of CMS”), to promote and manage regulatory compliance requirements of investment banking, equity derivatives, treasury, research, private equity business in Kenanga Group. Besides, to also facilitate and assist in control room related matters.
- Conduct independent review in relation to compliance with the applicable regulatory requirements and internal policies and procedures prior to submission of corporate proposals to the regulators
- Assist in the day-to-day control room related matters pertaining to maintaining and monitoring restricted list & blackout list, handling of crossing over the wall request, management of conflict of interest, reviewing of employee trades, etc
- Assist in designing and carrying out review based on the compliance programme in accordance with CMS’s annual work plan
- Review trading records, communication logs, and other data to identify patterns or red flags indicating possible misconduct
- Assist in the preparation of monthly and ad hoc report on regulatory matters to the Senior Management, Board and Regulators
- Assist in developing and reviewing CMS’s policies & procedures as well as independent reviewer for business units under CMS’s purview
- Advise various businesses and compliance stakeholders on control room related matters
- Assist to report any non-compliance to the Head of Group Compliance for further action
- Support training initiatives to educate employees on compliance standards and promote a culture of ethical trading practices
- Assist the SVP, CMS in any other responsibilities / tasks as assigned from time to time.
- Bachelor’s or Master’s Degree or Professional Qualification in the relevant discipline such as Finance/Business/Law/Economics
- Minimum 5 years’ compliance experience in a financial institution with specialization in compliance, audit or risk management. Candidates from Corporate Finance, Investment Banking and Treasury would be considered as well
- In-depth knowledge of latest regulatory requirements on capital markets and wholesale financial markets, issued by BNM, SC and Bursa Malaysia is a MUST
- Sound knowledge and conversant with Foreign Exchange Policy (“FEP”) rules.
- Experience in financial markets (i.e. FX, fixed income, money market) gained in surveillance, trading or operation activity will be an added advantage
- Knowledge of Control Room function, including the related rules and regulations.
- Able to work independently under pressure and with minimum supervision
- Strong written communication and inter-personal skills as the function requires effective interaction with various departments
* The salary benchmark is based on the target salaries of market leaders in their relevant sectors. It is intended to serve as a guide to help Premium Members assess open positions and to help in salary negotiations. The salary benchmark is not provided directly by the company, which could be significantly higher or lower.