Malaysia
Job DescriptionGroup Control Room:
To promote and manage the culture and practice of regulatory compliance and ethical standards in the conduct of Control Room, Conflict Management and Research Compliance function throughout CIMB Group and to oversee the Group's compliance with those requirements and applicable standards.
To ensure the effectiveness of the Group's management of compliance and regulatory risk issues through the establishment and maintenance of appropriate and effective frameworks and procedures, that compliance and regulatory risks are anticipated, identified, escalated and reported to stakeholders, mitigated and managed to avoid any financial and reputational loss.
To monitor compliance with CIMB Group Conflict Management and Chinese Walls Policy and Procedures and CIMB Group Personal Account Dealing Policy and Procedures, including the control room functions and management of conflicts within entities under CIMB Group (CIMBG).
To monitor research activities and clearance of research reports on companies emplaced on Restricted and Grey List.
To ensure that CIMB Securities upholds regulatory compliance and ethical standards by implementing effective Control Room and Compliance functions, managing conflict of interest through policies and training, and supporting integration within the Group's Covered Divisions and sharing of Control Room processes for providing research reports clearance and communicating regulatory expectations related to white-labelling research reports. This includes managing research reports with emphasis on adherence to the Grey, Research Restricted, and Proprietary Position Lists.
Involved in day-to-day control room work and ensure all queries are handled in a timely manner.
Provide Control Room support for relevant regulatory/enforcement/internal investigations.
Any other responsibilities/tasks as assigned by the Team Lead, Control Room from time to time.
Lead the detection and monitoring of all business approved communication channels and/or trading activities of employees undertaking trading activities in Treasury & Markets/CIMB Securities to ensure compliance with regulatory requirements and expectations.
Undertake behavioural and pattern analysis and assessment on surveillance concerns/issues identified from surveillance activities and work closely with the business/support units or relevant stakeholders to address and manage the concerns/issues.
Attend to surveillance concerns/issues escalated by relevant regulators and take necessary/appropriate actions in relation thereto and provide appropriate response to the regulators.
Assist in providing feedback on current compliance monitoring programmes and regional surveillance positioning taking into consideration observations made during surveillance activities.
Prepare relevant reports for stakeholders (e.g., management, governing committees, board of directors and/or regulators) to enable an informed decision-making process.
Ensure documentation on surveillance and monitoring works are properly documented, filed and kept.
Other duties as directed by the Head of Department.
Job InfoJob Identification: 26377
Job Category: Compliance
Posting Date: 12/13/2024, 07:24 AM
Job Schedule: Full time
Job Shift: Day Shift#J-18808-Ljbffr