Avp, Digital Investment Compliance

Compliance & Risk (Banking & Financial Services)
Full time
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(a) To assist in executing compliance programs in relation to the Digital Investment Management activities carried out by Kenanga Investment Bank Bhd ("KIBB");
(b) To conduct compliance reviews to ensure compliance with the regulatory requirements; and
(c) To provide compliance advice to the business units.
KEY RESPONSIBILITIES
Compliance Programs (CPs) Management
Review compliance of the business units as per directive from the Section Head or Head of Group Compliance to ensure compliance with the applicable regulatory requirements.
Compliance Checklist
Assist the Section Head to develop (new) or update (existing) compliance checklists to reflect current regulations.
Compliance Advisory
Assist to provide advice to internal stakeholders who seek compliance advisory in relation to the relevant regulatory requirements.
Compliance Reporting
Assist the Section Head on the preparation of the reports and papers to the board of directors and internal committees.
Assist to attend to queries and information requested by the relevant regulator(s).
JOB REQUIREMENTS
Degree in Accounting, Finance, Business Studies or Law.
Minimum 5 years of working experience in the securities or financial industry or in any other related industry.
Pass the relevant examination set by regulators relating to Compliance.#J-18808-Ljbffr