Assist to establish, maintain and monitor compliance standards and framework of RHBIB's capital markets businesses and operations to manage compliance risks.
Able to accurately report and on a timely basis any non-compliance to the Head of Capital Market and Non-Broking Supervision (CMNBS) and Chief Compliance Officer, Group IB Compliance for further action.
Able to identify and implement compliance solutions to address non-compliance issues relating to RHBIB's capital markets activities.
Able to conduct the effective dissemination of new or revised rules, regulation or compliance issues to the relevant capital markets business units.
Ensuring effective implementation of compliance objectives and annual work plans (including carrying out any planned periodic or thematic reviews).
Able to review and provide input for Compliance Risk Assessments of Business Units under CMNBS purview.
Display teamwork and work closely with other team members for the planned deliverables and capital market business units (e.g. review of submissions to regulators etc.), as and when required.
Providing advisory to the capital markets business units on the applicability of internal policies and guidelines as well as the relevant rules and regulations of Bank Negara Malaysia (BNM), Securities Commission Malaysia (SC) and Bursa Malaysia Securities Berhad (Bursa Securities).
Able to undertake the drafting and finalization of internal policies and guidelines.
Able to prepare learning materials as well as conducting training to the capital markets business units.
Providing support for the liaison with internal audit and regulators.
Key Shared Accountability
Business Departments/Divisions of RHBIB
Work closely with Debt Capital Markets, Corporate Finance, Mergers & Acquisitions, Equity Capital Markets, Client Coverage Private Sector and GLC & Public Sector to seek overall input on the measures implemented by IB Compliance for RHBIB to ensure effective internal controls are in order to minimize the risk of non-compliance.
Work closely with Group Secretariat, Group Legal and Group Internal Audit on any non-compliance issues.
