Head of Regulatory Compliance, Investment Banking
Salary + Attractive Benefits
Location Kuala Lumpur
Consultant Anthony Lim
Date posted 28 March 2018Menara 3 Petronas Persiaran KLCC Kuala Lumpur 50088 Robert Walters Malaysia
An exciting new Head of Regulatory Compliance, Investment Banking role has just became available with an established financial institution that is part of a listed local financial conglomerate based in Kuala Lumpur. Reporting directly to the Chief Compliance Officer of the Financial Group, this is a position for an experienced Investment Banking Compliance professional who is ready for a set up to lead a small team of 3 direct reports and grow together with the financial institution.
About the Head of Regulatory Compliance, Investment Banking Role:
In this business critical position you will be responsible to provide sound advises to the relevant business units and Senior Management of the Banking entity with any compliance related matters in the area of Investment Banking.
- Act as the first point of contact as the Regulatory Liaison for regulatory compliance matters pertaining the Investment Banking business
- Provide advice on compliance matters including all relevant laws and regulations within the pre-determined turnaround time while ensuring compliance with all regulatory requirements of the Investment Banking business
- Assist the Head of Group Compliance in the development/enhancement and implementation of compliance related policies as may be required by management or as necessitated by changes in law/regulatory requirements
- Assist in formulating the Annual Compliance Plan and implementation of compliance initiatives per as per the plan
- Conduct and supervise compliance monitoring/testing/review of areas identified in the Annual Compliance Plan
- Lead projects on facilitation/training among the stakeholders for regulatory guidelines, including conducting gap analysis and monitoring the resolution of such gaps by the relevant stakeholders
- Ensure continuous professional development of team members and identifying designs and implementation of key areas of Investment Banking compliance training with the objective of raising overall awareness of the employees
To succeed in the Head of Regulatory Compliance, Investment Banking role you will need to have the ability to work effectively and co-operatively with senior stakeholders, internally and externally.
- Possess a degree /professional qualification from an institution recognised by the Malaysian Government
- Passing of Module 6, 7 and 11 examination of Securities Commission Malaysia is an added advantage
- Possess at least five years' direct experience as the Compliance Officer in the Capital Market and cumulatively 10 years within the Capital Market space
- Possess analytical thinking with report writing and sound knowledge of laws and regulations of the Securities industry
With the bank on going expansion, you can expect excellent prospects for career advancement if you continually strive to improve and excel in your tasks assigned. The work can be demanding, but it is also interesting and challenging and also rewards satisfying at the same time.
If you are driven, determined and want to take the net step in your career, this is the role for you. Great career progression opportunities await the right person in this exciting Head of Regulatory Compliance, Investment Banking role.
Apply today or call me to discuss this new opportunity.
Business Registration Number: 729828-T
Licence Number: JTK2125
Business Registration Number: 729828-T Licence Number: JTK2125