Business Risk Compliance Officer

A well-known local entity is seeking a highly qualified Business Risk Compliance Officer. This job is for a driven professional who is looking to make lasting impact to the organisation.

About the Business Risk Compliance Officer Role:
In this business critical role, you will be responsible for establishing a holistic framework comprising group IB compliance and group operational risk management tools and processes.

Key Responsibilities:

• Ensure the equities broking and research unit fulfils all tasks related to its business continuity and the same for all departments within equities broking and research
• Establish an effective partnership with group operational risk management in managing the equities broking and research’s operational risks to be in line with the group’s business objectives
• Monitor and ensure all operational risk and non-compliance of regulatory obligation incidences are reported and escalated in a timely manner in accordance to Incident Management Loss Data Collection (IMLDC) Guidelines
• Establish an effective partnership with group IB compliance and group compliance in managing equities broking and research’s regulatory compliance risks to be in line with the group’s business objectives
• Develop and provide training on operational risk management and regulatory compliance awareness to all levels of staff and capital markets services representative licence holders to promote an effective risk and compliance culture

To succeed in the Business Risk Compliance Officer – Equities Broking and Research role, you will need to maintain a close working relationship with internal and external stakeholders.

Key Requirements:

• Minimum of five years of experience in areas of compliance, operational risks and controls in investment banking (preferably) or in a financial institution
• Experience in equities broking and research products is an advantage
• Intimate working knowledge within overall group investment banking and equities broking and research, in particular
• Excellent analytical, verbal, written and interpersonal skills

This well-known entity has an outstanding reputation and great value is placed on training and development.

If you are driven, determined and want to take the next step in your career, this is the role for you. Great career progression awaits the right person in this exciting Business Risk Compliance Officer – Equities Broking and Research job.

Apply today or contact me to discuss this new opportunity.

Do note that we will only be in touch if your application is shortlisted.

Agensi Pekerjaan Robert Walters Sdn Bhd
(formerly known as Robert Walters Sdn Bhd)
Business Registration Number : 729828-T
Licence Number : JTKSM 423C