Facilitate and assist the Head of Capital Markets & Non-Broking Supervision (
Head of CMS), IB Compliance to manage compliance requirements for RHB Investment Bank's (
RHBIB) Capital Markets activities and operations.
Key Individual Accountabilities
- Assist Head of CMS to establish, maintain and monitor compliance standards and framework of RHBIB's Chinese Wall and Insider Trading Policy to manage compliance risks.
- Assist Head of CMS to accurately and timely report any non-compliance to the Head of IB Compliance for further action.
- Assist Head of CMS to identify and implement compliance solutions to address non-compliance issues relating to RHBIB's Chinese Wall and Insider Trading Policy.
- Assist Head of CMS for effective dissemination of new or changes of rules, regulation or compliance issues.
- Manage and monitor the automated system of WL/RL inclusions and employee trading transactions.
- Assist Head of CMS to provide direction, coaching, guidance, motivation, support, training and feedback to the team member to ensure effective implementation of compliance objectives.
- Display teamwork and work closely with other Senior Management personnel at all times.
- Assist Head of CMS to liaise with regulators to understand their expectation and for guidance.
Key Shared Accountabilities
- Business Departments/Divisions of RHBIB Work closely with Debt Capital Markets, Corporate Finance, Mergers & Acquisitions, Equity Capital Markets, Research, 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.
