AVP, Investment Banking Compliance Advisory

An exciting AVP, Investment Banking Compliance Advisory job has just become available at a renowned bank based in Kuala Lumpur. This is a role for an individual who is looking for an exciting opportunity to be a part of the changing landscape in the financial services industry.

About the AVP, Investment Banking Compliance Advisory Role:
In this business critical role, you will oversee the preparation, review and coordination of data submitted by stakeholders for FATCA and CRS Reporting and undertake submission of the same to IRBM.

Key Responsibilities:

• Provide advice in areas of investment banking activities on securities laws or guidelines to minimise reputational, financial, and legal risks by reviewing and providing feedback on corporate advisory proposals, new product proposal, mandate letter/NDA, draft applications, submissions documents etc, with regards to compliance to the relevant regulatory requirements prior to submission to the regulators
• Strategise and work with respective compliance units/regional compliance to formulate compliance policies/procedures arising from revision/updates existing and introduction of new laws and regulations, regulatory requirements, and global best practice to ensure proper implementation of compliance function across entities’ domestic and international/regional operations
• Oversee/undertake the control room function i.e. conflict of interest management, maintenance of watch Llist register, clearance of staff trading, etc.

To succeed in this AVP, Investment Banking Compliance Advisory job, you will need to maintain and develop positive and professional working relationships with the compliance functions.

Key Requirements:

• Recognised degree in law/finance/accounting/business or other relevant qualifications
• 10 years’ managerial experience in capital market activities; passed relevant capital market licensing module, AICB certification and discipline/related field i.e. accountancy, banking, internal and statutory/external audit, risk management, capital market activities
• Familiar with areas (not limited to Malaysia rules and regulations only) of the capital market, conflict of interest, CDD/KYC, FATCA/CRS, PDPA, AB&C, foreign exchange policy and secrecy/confidentiality requirements

This organisation is an exciting addition to the financial services industry. The firm is very focused on developing and training their people to the highest standards.

If you are driven, determined and want to take the next step in your career, this is the role for you. Great career progression opportunities await the right person in this AVP, Investment Banking Compliance Advisory 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
Business Registration Number : 729828-T
Licence Number : JTKSM 423C