Manager, Capital Market Supervision, Group Compliance

Job Purpose

To support and assist the Senior Vice President of Capital Market Supervision, Group Compliance (SVP of CMS), to promote and manage regulatory compliance requirements of investment banking, equity derivatives, treasury, research, private equity business in Kenanga Group. Besides, to also facilitate and assist in control room related matters.

Job Responsibilities

• Conduct independent reviews to ensure compliance with regulatory requirements prior to submission of corporate proposals.
• Support control room operations, including restricted & blackout lists, wall-crossing requests, conflicts of interest, and employee trading reviews.
• Assist in designing and executing compliance reviews aligned with CMS's annual work plan.
• Review trading records and data to identify red flags and potential misconduct.
• Prepare regulatory reports for Senior Management, Board, and Regulators.
• Support the development and review of policies & procedures and act as an independent reviewer for business units.
• Advise stakeholders on control room and compliance matters.
• Escalate non-compliance issues for further action.
• Support training initiatives to promote compliance awareness and ethical trading.
• Assist with additional responsibilities as assigned.

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Job Requirements

• Bachelor's or master's Degree or professional qualification in a relevant discipline such as Finance, Business, Law, or Economics.
• Minimum 5 years of compliance experience in a financial institution, with exposure to compliance, audit, or risk management. Candidates from Corporate Finance, Investment Banking, or Treasury will also be considered.
• In-depth knowledge of regulatory requirements for capital and wholesale financial markets issued by BNM, SC, and Bursa Malaysia is a must.
• Strong understanding of Foreign Exchange Policy (FEP) rules.
• Experience in financial markets (e.g., FX, fixed income, money market) in surveillance, trading, or operations is an added advantage.
• Knowledge of Control Room functions and related rules and regulations is preferred.
• Ability to work independently under pressure with minimal supervision.
• Strong written communication and interpersonal skills, with the ability to engage effectively across departments.
• Proficient in report writing.