Working Hour
Regular Hours
Monday - Friday
Business Area
Investment Banking
Malaysia - Kuala Lumpur
Working Hour
Regular Hours
Monday - Friday
Malaysia - Kuala Lumpur
Business Area
Investment Banking

Primary Objective:

Assist Head of SBG, through the Head of BA/FA, on the following:-


  • Cultivating and enhancing risk and compliance culture within Group IB Operations (BG/FG)
  • Reviewing and advising all Teams / Circles / Division in BG/FG on operational risk, imposition of controls and compliance to requirements
  • Ensuring that all staff and Capital Markets Services Representative Licence holders (if any) within BG/FG are trained in relation to applicable rules and procedures in their respective specialized area to ensure compliance to both Compliance and Risk matters and that they adhere to in-house policies, guidelines and procedures

Identifying, investigating, handling and resolving regulatory and operational non- compliances breaches, if required.

Key Responsibilities:

Risk and Control Self-Assessment / KRI / KCT/ LDC / BCM – systems & process management


  • Establish a holistic framework comprising compliance and risk management tools and processes across BG/FG to identify, assess, measure, monitor and mitigate operational risk exposure / likelihood
  • Ensure effective implementation of these tools and processes
  • Ensure BG/FG fulfills all tasks related to its business continuity
  • Establish an effective partnership with Group Operational Risk Management in managing the BG/FG’s operational risks to be in line with business objectives
  • Monitor and ensure all operational risk and non-compliance of regulatory obligation incidences within the BG/FG are reported and escalated in a timely manner in accordance to Incident Management Loss Data Collection (IMLDC) Guidelines
  • Monitor and track the LDCs raised within the BG/FG and ensure timely closure.
  • Monitor and ensure closure for all internal /external audit and regulatory findings.
  • Provide advice to all departments within the BG/FG on risk mitigation measures within operations especially on high-risk areas

Regulatory Compliance / Governance

  • Establish an effective partnership with Group / IB Compliance in managing the BG/FG’s regulatory compliance risks to be in line with the Group’s business objectives
  • Provide advice to the BG/FG on regulatory compliance risk mitigation measures in operations to ensure no non-compliance breaches or non-recurrence of compliance breaches
  • Participate in SBG strategy sessions to ensure that compliance risks have been accounted for and are in line with business objectives

Risk & Compliance Awareness Training / Knowledge

  • Develop & provide training on risk management & compliance awareness to all levels of staff and Capital Markets Services Representative Licence holders (if any) in BG/FG to promote an effective risk & compliance culture across the BG/FG

Monitor completion of mandatory learning programs of all personnel in the BG/FG

Bachelor Degree - Minimum Bachelor’s degree in a related discipline.

- AML/CFT-related certifications would be an advantage

  • Minimum 10 years of overall working experience
  • Experience in areas of Compliance, Operational Risks & Controls in Investment Banking (preferably) or in a financial institution would be an advantage
  • Experience and knowledge in AML/CFT and Retail & Institutional Equities, Broking & Derivatives products would be an added advantage
  • Intimate working knowledge within overall Group IB and Group IB Operations, in particular
  • Excellent analytical, oral, written and interpersonal skills

Good stakeholder management and ability to work with stakeholders from all levels of management


Dental, Education support, Miscellaneous allowance, Medical, Loans, Sports (e.g. Gym), Parking, Vision, Regular hours, Mondays - Fridays, Casual Business Wear, Performance Based Rewards