Regulatory Compliance Officer

Position:

Manager & Assistant Manager, Regulatory Compliance (Group Compliance)

KAF Investment Bank Bhd (Group)

Job Description/Role:

Regulatory Compliance Programme

1. Assist in designing, developing and implementing comprehensive and efficient Compliance Plans for application in the Bank.

Compliance Risk Assessment and Management

2. Assist in identifying key compliance risks/weaknesses and to recommend ways to enhance procedures in order to improve operational efficiency.

3. Perform periodic monitoring and dissemination of regulatory issuances by regulators and manage/update the compliance matrix of the Bank based on the latest regulatory issuances.

4. Conduct gap analysis and assessment on the Bank's business activities, functions and practices to ensure compliance with applicable regulations and policies arising from the new and revised regulatory issuances.

5. Collaborate with stakeholders in reviewing existing internal policies and procedures to ensure that any identified gaps are addressed.

Regulatory Liaison and Relationship Management

6. Coordinate and support regulatory examinations, audit and inquiries.

7. Correspond with internal stakeholders on compliance issues.

Compliance Reporting

8. Prepare Group Compliance Report for reporting to Management, Senior Management and the Board comprising of compliance reports from the respective compliance areas: Compliance Monitoring/Review, Group FCC & Ethics and Regulatory Compliance.

Compliance Training and Awareness

9. Prepare, arrange and/or conduct relevant compliance training and awareness to employee of the Bank.

Others

10. Perform ad-hoc and/or miscellaneous job-related tasks assigned by Head, Investment Banking

Compliance or GCCO.

Requirements / Who we want:

i. Undergraduate degree (any related field);

ii. 5 10 years of experience, preferably from FIs or FSPs;

iii. Familiarity with regulatory documents/issuances (BNM, SC, Bursa);

iv. Strong writing/communication skills and good stakeholder management.

v. Advantage: Has exposure to PDPA/data integrity / SCEL / RPT / RENTAS / SWIFT etc.

vi. Advantage: Has acquired ICA/AICB/SIDC certification(s)