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Jobs or company...

IB Compl Officer, Eqts&Ftrs Br (1011625)

  • Full Time, onsite
  • RHB Banking Group
  • able to work under minimum supervision. Benefits Dental, Malaysia
Salary undisclosed

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Availability Status

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Description


To ensure the organization operates in full compliance with all applicable laws, regulations, and internal policies.

The Compliance Officer will implement and manage effective compliance programs, conduct regular reviews, and provide guidance to staff. The role involves identifying potential risks, addressing regulatory concerns, and fostering a culture of integrity and ethical conduct within the organization. The Compliance Officer will work closely with various departments to promote adherence to legal standards, mitigate compliance risks, and protect the organization's reputation.


• To monitor and review dealings and business conduct by clients and Dealer’s Representatives in the Securities/Derivatives market to ensure adherence with the relevant Rules & Regulations and in line with RHB Investment Bank(RHBIB)’s policies.

• Establish, maintain and monitor compliance standards of RHBIB to manage compliance risks.

• Timely and accurate report compliance and non-compliance to the Head of Equities and Futures Broking Supervision for further action.

• To prepare Monthly Compliance Report for reporting to the Board of Director of RHBIB.

• To ensure timeliness of the submission of Monthly Compliance Report to Regulators.

• Identify and implement compliance solution to address non-compliance issues.

• Display teamwork and work closely with other Senior Management personnel at all times.

• Liaise with Regulators to understand their expectation and for guidance.

• To conduct compliance functions for the branches either by way of remote monitoring or on-site visit to the branches.

Requirements

A bachelor’s degree in finance, accounting, law, business administration, economics or related field with at least three years of relevant experience in the capital market.

Relevant certifications like Advanced Certification in Regulatory Compliance from Asian Institute of Chartered Bankers (AICB) or qualifications from Securities Industry Development Corporation (SIDC) are highly regarded.

Possess good business sense, strong communication and analytical skills; able to work under minimum supervision.

Benefits

Dental, Education support, Miscellaneous allowance, Medical, Loans, Sports (e.g. Gym), Parking, Vision, Regular hours, Mondays - Fridays, Casual Business Wear, Performance Based Rewards

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