RHB Banking Group

Description

Primary Objective:

We are seeking an experienced and detail-oriented Market Misconduct Investigator to join RHBIB Compliance team . The role will focus on identifying, investigating, and preventing market misconduct, including insider trading, market manipulation, and breaches of regulatory standards. The ideal candidate will have a strong understanding of financial markets, regulatory compliance, and investigative techniques within a brokerage setting.

Key Responsibilities:

Key Individual Accountabilities

- Conduct Investigations:
- Identify and investigate suspected instances of market misconduct, such as insider trading, front-running, market manipulation, and other forms of misconduct in trading and broking activities.
- Review trading records, communication logs, and other data to identify patterns or red flags indicating possible misconduct.

- Data Analysis and Pattern Recognition:
- Analyze large sets of trading and market data to detect anomalies, trends, and unusual trading patterns that could indicate misconduct.
- Use advanced analytical tools and methodologies to enhance investigation processes.

- Compliance Monitoring and Reporting:
- Monitor trades to ensure they adhere to internal policies and external regulatory requirements.
- Prepare detailed reports summarizing findings, outcomes, and recommendations, ensuring timely escalation of findings to senior management and regulatory bodies.

- Collaboration with Regulatory Bodies and Internal Teams:
- Liaise with external regulatory bodies as necessary and stay updated on changes in market conduct regulations.
- Work closely with relevant stakeholders to coordinate responses to regulatory inquiries and ensure all necessary data and context are provided.

- Policy Development and Training:
- Assist in developing and updating policies and procedures aimed at preventing and detecting market misconduct.
- Support training initiatives to educate employees on compliance standards and promote a culture of ethical trading practices.

Requirements

Requirements:
Bachelor Degree - Bachelor or Master’s Degree or Professional Qualification in the relevant discipline..

Minimum 3 years compliance and investigation experience in the Financial Services industry

Good understanding on Capital Markets transactions.

In-depth knowledge of latest rules and regulations on Capital Markets.

Strong communication and inter-personal skills.

Benefits

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

In-depth knowledge of latest rules and regulations on Capital Markets.

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