Global Markets Compliance Specialist
Aisling Group
Kuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia
3 hari yang lepas

Responsible for executing compliance functionsencompassing regulatory and business advice, licensing requirements, compliancetraining, risk identification and assessment, compliance monitoring, reviewsand testing in Global Markets (GM) in Malaysia.

Responsibilities :

  • Ensure that all regulatory requirements / policiesintroduced by the regulators and the Bank are implemented by GM to facilitatetheir compliance.
  • Develop, recommend, implement and enhancecompliance monitoring in GM for all regulatory compliance risks.
  • Ongoing compliance testing & reviews
  • Preliminary / ad-hoc reviews of anynon-compliance / breaches or irregularities
  • Develop and implement Compliance Program withinGM
  • Provide new products / projects sign-off fromCompliance perspective
  • Management of regulatory inspections and followup on issues arising
  • Manage regulatory relationships for GM
  • Management of initiatives relating to Cultureand Conduct
  • Implement initiatives to ensure regular and / orad-hoc reporting on regulatory compliance to Group Compliance
  • Conduct focused compliance training for GMbusiness.
  • Requirements :

  • Degree or professional qualification fromrecognized university with at least three years of compliance related workexperience
  • Certification in Compliance or AML / CFT with atleast one year of Compliance related experience
  • A minimum of 5 years working experience inbanking, operations, or financial markets related activities.
  • Good understanding and actual knowledge ofdifferent asset classes under the financial markets.
  • Ability to design and implement a risk monitoringprogram
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