Senior Executive, Compliance (Stockbroking)Compliance & Risk (Banking & Financial Services)
Full time
Responsibilities:
Conduct compliance and AML reviews and monitoring on Stockbroking division in accordance with the compliance programme within the stipulated timelines;
Conduct compliance and AML reviews to ensure business units adhere to regulatory requirements and the Bank's policies and procedures;
Escalate issues of non-compliance to the Head and line management timely;
Assist Head of Compliance/Manager superior to ensure effective and up to date compliance programme is maintained;
Provide advisory to Stockbroking business units on compliance matter;
Assist Head of Compliance/Manager to develop and review related Compliance Policies and Procedures;
Develop close relationship with business unit to engender a culture of compliance within the business;
Assist Head of Compliance/Manager in handling requests from regulators;
Assist the Head of Compliance/Manager to provide continuous training to business unit on compliance related matters;
Assist the Head of Compliance/Manager to conduct market surveillance reviews;
Assist superior in preparing Monthly Compliance Report and other reports; and
Assist superior in any other ad hoc tasks whenever necessary.
Job Requirements:
Possess Bachelor Degree in Finance, Accounting, Business Studies or any equivalent.
Minimum 3 years of working experience in the related field (preferably stockbroking division) is required.
Knowledge in relevant local regulatory requirements (BNM, SC and Bursa) in relation to capital market products.
Proficiency in Microsoft Office (Word, Excel and PowerPoint).
Good command of spoken and written English and Bahasa Malaysia.
Good analytical skills in resolving problems.#J-18808-Ljbffr