Job Description

Description Primary Objective: To assist in ensuring RHB Investment Bank Securities/Derivatives activities in compliance with all relevant Rules and Regulations, internal policies and procedures. Key Responsibilities: Key individual accountabiliti Description Primary Objective: To assist in ensuring RHB Investment Bank Securities/Derivatives activities in compliance with all relevant Rules and Regulations, internal policies and procedures. Key Responsibilities: Key individual accountabilities Key liaison between Business/ Support Departments and Regulators for request of information and documentation. Maintain the Regulatory request for reporting purposes and keep track on the progress of submission to ensure timeliness. To closely monitor and review trading activities by clients to ensure adherence with the relevant Rules and Regulations and in line with RHBIB's internal policies. Provide guidance to the relevant department to facilitate its compliance with orderly and fair market requirements. Analyse trading behaviour to ensure surveillance issues are identified, investigated and escalated in a timely manner. Participate in developing the Market Surveillance monitoring process as well as contributing to the development of the overall Surveillance process flow. To review and ensure periodic reports are filed accordingly and in a timely manner. Collectively responsible to maintain record of regulators' request and enforcement action, and internal disciplinary action against Dealer's Representatives/Registered Representatives. Requirements Requirements: Bachelor Degree - Accountancy/Finance/Banking or equivalent. Minimum 2 years' experience in stockbroking industry Knowledge of the Capital Market and regulatory requirements governing Securities/Futures markets will be an advantage. Possess good business sense, strong communication and analytical skills able to work under minimum supervision. Benefits Dental, Education support, Miscellaneous allowance, Medical, Loans, Sports (e.g. Gym), Parking, Vision, Regular hours, Mondays - Fridays, Casual Business Wear, Performance Based Rewards