Job Description

Description

Primary Objective:

• To assist the BG/FG to plan, direct and lead the operations of the investigation related to market misconduct and to manage the frontline equity surveillance and market engagement functions with the objective of promoting a fair and orderly trading environment to protect RHBIB and investors\xe2\x80\x99 interest in accordance with the provision of Bursa Rules and Capital Market Services Act 2007 (\xe2\x80\x9cCMSA 2007\xe2\x80\x9d).
• To also assist the BG/FG to develop policies and procedures in preventing market misconduct activities, identify weaknesses of the control process and recommend necessary enhancements.

Key Responsibilities:

• Transaction Monitoring

• Oversee the detection and monitoring of trading activities of RHBIB clients and DRs and ensure is in compliance with regulatory requirements and expectations.
• Lead and ensure effective identification and recalibration of working surveillance parameters and threshold to keep abreast with developing market and surveillance trend.
• Lead the management of surveillance concerns/issues identified from monitoring activities and work closely with Business units and relevant stakeholders to address the concerns/issues.
• Lead the management of surveillance concerns/issues escalated by regulators and take necessary actions in relation thereto and provide appropriate response to the regulators.
• Lead in the implementation and enhancement of surveillance system and programmes to enable effective functioning of surveillance activities in RHBIB Malaysia and regionally.

• Misconduct Investigation

• Lead the creation and maintenance of a working investigation framework for RHBIB Compliance.
• Lead the investigation of escalated surveillance/concerns issues which require further deliberation and action taken on RHBIB clients and DRs to ensure fair and thorough assessment.
• Lead the investigation of potential regulatory and internal breaches involving RHBIB staff and commissioned DRs to ensure fair and thorough assessment.
• Lead and carry diligent, independent and non-bias investigation from Compliance perspective to safeguard RHBIB interest and provide appropriate, well-measured Compliance recommendation to the relevant stakeholders.
• Prepare accurate and comprehensive investigation report for relevant internal stakeholders to enable an informed decision making process.

• Management and Reporting

• Assist in providing timely feedbacks to the Head, Group IB Compliance on the state of Compliance surveillance programmes and regional surveillance positioning.
• Assist in providing timely feedbacks to the Head, Group IB Compliance on misconduct investigation.
• Prepare relevant periodic and ad-hoc reports for both trade surveillance and misconduct investigation for the management, RHB committees, Board of Directors and/or regulators.
• Liaise and cooperate with regulators and authorities as and when necessary.

Requirements

Requirements:
Bachelor Degree - Accounting, Finance, Law, Economics, Actuarial Science or related disciplines..

- Certified Fraud Examiner Certified Integrity Officer

• 12-15 years working experience in the financial / capital market services industry.
• Experience in stockbroking, capital market regulations and law enforcement will be an added advantage.
• Proficiency in Securities Law knowledge equity trading (back and front room).

Strong investigative and analytical skills.

Benefits

Dental, Education support, Miscellaneous allowance, Medical, Loans, Sports (e.g. Gym), Parking, Vision, Regular hours, Mondays - Fridays, Casual Business Wear, Performance Based Rewards

RHB Bank