Compliance & Risk (Banking & Financial Services)
Full time
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To lead the monitoring and surveillance activities for employees undertaking treasury activities in Malaysia and regional entities to ensure compliance with relevant rules and regulations.
Job Responsibilities:
Lead the detection and monitoring of all business approved communication channels and/or trading activities of employees undertaking treasury activities in Treasury & Markets Department and ensure is in 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 feedbacks 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.
Provide necessary information sharing/training to employees undertaking treasury activities to enhance compliance awareness and education efforts on financial market misconduct and the associated requirements.
Ensure documentation on surveillance and monitoring works are properly documented, filed and kept.
Provide training and guidance to team members on surveillance BAU, including alerts analysis, alerts documentation, alerts and case escalation.
Other duties as directed by the Head of Department and/or direct supervisor.
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Your application will include the following questions: What's your expected monthly basic salary? Which of the following types of qualifications do you have? How many years' experience do you have as a Surveillance Analyst?
Banking & Financial ServicesMore than 10,000 employees
CIMB Group is one of ASEAN's leading universal banking groups and is Malaysia's second largest financial services provider, by assets. It offers consumer banking, commercial banking, investment banking, Islamic banking and asset management products and services. Headquartered in Kuala Lumpur, the Group is present in all 10 ASEAN nations (Malaysia, Indonesia, Singapore, Thailand, Cambodia, Brunei, Vietnam, Myanmar, Laos and Philippines). Beyond ASEAN, the Group has market presence in China, Hong Kong, India, Sri Lanka, Korea, the US and UK.
CIMB Group has the most extensive retail branch network in ASEAN approximately of 720 branches as at 30 September 2019. CIMB Group's investment banking arm is also one of the largest Asia Pacific-based investment banks, offering amongst the most comprehensive research coverage around of 600 stocks in the region.
CIMB Group operates its business through three main brand entities, CIMB Bank, CIMB Investment Bank and CIMB Islamic. CIMB Group is also the 92.5% shareholder of Bank CIMB Niaga in Indonesia, and 94.8% shareholder of CIMB Thai in Thailand.
CIMB Group is listed on Bursa Malaysia via CIMB Group Holdings Berhad. It had a market capitalisation of approximately RM48.9 billion as at 30 September 2019. The Group has around 36,000 employees located in 16 countries
For more information, please visit www.cimb.com
CIMB Group is one of ASEAN's leading universal banking groups and is Malaysia's second largest financial services provider, by assets. It offers consumer banking, commercial banking, investment banking, Islamic banking and asset management products and services. Headquartered in Kuala Lumpur, the Group is present in all 10 ASEAN nations (Malaysia, Indonesia, Singapore, Thailand, Cambodia, Brunei, Vietnam, Myanmar, Laos and Philippines). Beyond ASEAN, the Group has market presence in China, Hong Kong, India, Sri Lanka, Korea, the US and UK.
CIMB Group has the most extensive retail branch network in ASEAN approximately of 720 branches as at 30 September 2019. CIMB Group's investment banking arm is also one of the largest Asia Pacific-based investment banks, offering amongst the most comprehensive research coverage around of 600 stocks in the region.
CIMB Group operates its business through three main brand entities, CIMB Bank, CIMB Investment Bank and CIMB Islamic. CIMB Group is also the 92.5% shareholder of Bank CIMB Niaga in Indonesia, and 94.8% shareholder of CIMB Thai in Thailand.
CIMB Group is listed on Bursa Malaysia via CIMB Group Holdings Berhad. It had a market capitalisation of approximately RM48.9 billion as at 30 September 2019. The Group has around 36,000 employees located in 16 countries
For more information, please visit www.cimb.com#J-18808-Ljbffr