Job Description

Description

Primary Objective:

Facilitate and manage compliance requirements for RHB Investment Bank\xe2\x80\x99s (\xe2\x80\x9cRHBIB\xe2\x80\x9d) Capital Markets activities and operations.

Key Individual Accountabilities

• To assist Section Head, CMS in establishing, maintaining and monitoring compliance standards and framework of RHBIB\xe2\x80\x99s Capital Markets operations to manage compliance risks.
• To assist Section Head, CMS in preparing timely and accurate compliance and non-compliance report to the Head, Group IB Compliance for further action.
• To assist Section Head, CMS in identifying and implementing compliance solution to address non-compliance issues relating to Capital Market\xe2\x80\x99s activities.
• To assist Section Head, CMS in reviewing Capital Markets transactions. To closely monitor and review trading activities by clients to ensure adherence with the relevant Rules and Regulations and in line with RHBIB\xe2\x80\x99s internal policies. Analyse trade pattern so that any stock\xe2\x80\x99s manipulation trading behaviour can be stop and minimize other abusive / mal-practice in the market.
• Participate in developing the Market Surveillance monitoring process as well as contributing to the development of the overall Surveillance process flow.
• Responsible for various RHB.IB compliance documentation update and progress maintenance from regulatory request.
• To assist Section Head, CMS in providing direction, coaching, guidance, motivation, support, training and feedback to the team member to ensure effective implementation of compliance objective.
• Display teamwork and work closely with other senior management personnel at all times.
• To assist Section Head, CMS in liaising with regulators to understand their expectation and for guidance.

Key Shared Accountabilities

• Business Divisions \xe2\x80\x93 Work closely with Debt Capital Markets, Corporate Finance, Mergers & Acquisition, Islamic Capital Markets, Equity Capital Markets, Large Cap CIBS, Mid Cap CIBS, GLCs, Derivative & Structured Products, Private Equity, Islamic Capital Markets to seek overall input on the recommendation measures implemented by Compliance for RHBIB to ensure effective internal control to minimise the risk of non-compliance.
• To contribute in providing quality content for various compliance awareness program and training session.
• Working closely with market misconduct team to facilitate and supplement course of investigation process where necessary.
• Work closely with Group Secretariat, Group Legal and Group Internal Audit on non-compliance issues.

Requirements

• Bachelor Degree - Bachelor or Master\xe2\x80\x99s Degree or Professional Qualification in the relevant discipline..
• Minimum 1 year compliance experience in the financial services industry
• Good understanding on Capital Markets transactions.
• In-depth knowledge of latest rules and regulations on Capital Markets.
• Strong communication and inter-personal skills.
• Experience as dealer representative or equity / futures trader will be added advantage.

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