Assistant Manager / Manager, Compliance (Control Room)
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Principally accountable to set up and lead the monitoring and surveillance team by establishing adequate framework, processes and procedures in place, inclusive of ongoing monitoring process. This is achieved by leveraging on technology, detection and monitoring methodologies to:
Meet all regulatory and policy requirements
Achieve strong control oversight
Identify, assess and report any risk of potential regulatory breaches and incidences
Establish Management and BOARD updates in accordance to framework.
Key Responsibilities:
Working with relevant stakeholders (e.g. Chief Compliance Officer, Managing Director, Global Markets and Global Markets Compliance) to setup a list of equity counters where the bank possesses material non public information or is conflicted thru its trading positions.
Review the periodic report on the surveillance and monitoring of Global Markets equity transactions/dealings activities performed by the team.
Identify, assess, report and work with stakeholders to mitigate any risk of potential regulatory breaches and incidences in relation to equity transactions/dealings activities due to market misconduct and other prohibited conduct under the banking, securities and stock exchange rules and regulations.
Work closely with Global Markets Compliance and Risk to carry out investigations for any potential regulatory breaches and incidences.
In consultation with Chief Compliance Officer, Global Markets Compliance and Risk to evaluate any potential regulatory beaches and incidences in relation to equity transactions/dealings activities.
Advise and highlight to Management to implement automated processes and controls, where applicable, to ensure gaps are identified in day to day operations that may expose to the bank on market misconduct and other prohibited conduct are mitigated.
Facilitate and consolidate responses, surveillance data/evidences/supporting documents for regulators at their requests.
Guide, mentor and coach team members on activities/initiatives to build up knowledge and experience.
Review adequacy and completeness of surveillance and monitoring framework, processes and procedures.
Take on additional responsibilities as and when assigned by Senior Management and/or the Board.
About Hong Leong Bank
We are a leading financial institution in Malaysia backed by a century of entrepreneurial heritage. Providing comprehensive financial services guided by a Digital-at-the-Core ethos has earned us industry recognition and accolades for our innovative approach in making banking simpler and more effortless for our customers. Our digital and physical offerings span across a vast nationwide network in Malaysia, strengthened with an expanding regional presence in Singapore, Hong Kong, Vietnam, Cambodia, and China.
We seek to strike a balance between diversity, inclusion and merit to achieve our mission of infusing diversity in thinking and skillsets into our organisation. Candidates are assessed based on merit and potential, in line with our mission to attract and recruit the best talent available. Expanding on our Digital at the Core ethos, we are progressively digitising the employee journey and experience to provide a strong foundation for our people to drive life-long learning, achieve their career aspirations and grow talent from within our organisation.
Realise your full potential at Hong Leong Bank by applying now.
Job ID JR0000015015
