Manager, Business Control (RWM Compliance)

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Functional

• Investigative Analysis: Lead/Independently review reviews of client complaints. This includes analyzing transaction history, recorded lines, and email correspondence to reconstruct events accurately.

• Stakeholder Collaboration: Partner with Customer Advocacy, Relationship Managers, Product teams, Branch staff to gather facts and determine if internal policies or regulatory requirements were breached.

• Resolution & Communication: Draft formal investigation outcomes that are clear and professional. You will propose fair settlements or remedial actions where necessary.

• Root cause assessment: Diagnose Systemic Risk or issues within the Wealth Management journey and recommend process improvements to prevent future complaints.

• Dispute Resolution Strategy Formulation: Design and execute strategic dispute resolution plans. Autonomously propose complex financial settlements, ex-gratia payments, or commercial remediations where systemic gaps or service failures are identified.

• Executive Response Drafting: Draft high-stakes, legally robust, and professional final response letters and executive-level investigation reports.

• Breach Assessment: Evaluate complex operational or advisory failures to definitively determine if internal policies, market conduct rules, or regulatory requirements were breached.

• Regulatory Reporting: Ensure all cases are logged and closed within the strict timelines mandated by policies and guidelines. Including the preparation of case dossier submission to regulators, FMOS and other mediation in mediation intermediaries.

• Appointed Regulatory Liaison: Act as the primary appointed subject matter expert (SME) for all formal FIMM (Federation of Investment Managers Malaysia) and FMOS (Financial Ombudsman Scheme) submissions.

• End-to-End Submission Review: Independently review, endorse, and finalize highly sensitive case dossiers and regulatory submissions, ensuring absolute technical accuracy and compliance with strict external regulatory timelines. At times, chair cross-functional working groups or meetings across Wealth Management, Product, Operations, Customer Advocacy, and Legal/Compliance to synthesize facts and align organizational positioning prior to response. This may include senior stakeholder engagements across the bank to align perspectives, negotiate fair resolutions, and gain consensus on high-impact or sensitive dispute strategies

Organizational

• By investigating complaints thoroughly, the function ensures the firm remains compliant with regional laws.

• Preventing issues from escalating to public forums, social media, or external ombudsmen, which could damage the brand's prestige

• Proper root cause assessment if there are systematic gaps.

Education/Qualification

• Malaysian citizen

• Good understanding of wealth products (Bonds, Unit Trust, Structured Products, Foreign Exchange and Insurance).

• Minimum Undergraduate degree in Accounting/Banking/Investment/Finance or a related field from any recognized colleges or university.

• Good command of Malay, English and Chinese (both oral and written)

• Keen eye to details, highly motivated and result-driven

• Excellent interpersonal skills, exceptional conflict resolution skills and the ability to remain calm under pressure.

Experience

• 10 years experience in similar capacity, preferable in Banking or Wealth Management

• Good understanding of wealth products (Bonds, Unit Trust, Structured Products, Foreign Exchange and Insurance).