AVP, Group Compliance (Capital Market Supervision)

AVP, Group Compliance (Capital Market Supervision)

To support and assist the Senior Vice President of Capital Market Supervision, Group Compliance (“SVP of CMS”), to promote and manage regulatory compliance requirements of investment banking, equity derivatives, treasury, research, private equity business in Kenanga Group. Besides, to also facilitate and assist in control room related matters.

Key Responsibilities

• Conduct independent review in relation to compliance with the applicable regulatory requirements and internal policies and procedures prior to submission of corporate proposals to the regulators
• Assist in the day-to-day control room related matters pertaining to maintaining and monitoring restricted list & blackout list, handling of crossing over the wall request, management of conflict of interest, reviewing of employee trades, etc
• Assist in designing and carrying out review based on the compliance programme in accordance with CMS’s annual work plan
• Review trading records, communication logs, and other data to identify patterns or red flags indicating possible misconduct
• Assist in the preparation of monthly and ad hoc report on regulatory matters to the Senior Management, Board and Regulators
• Assist in developing and reviewing CMS’s policies & procedures as well as independent reviewer for business units under CMS’s purview
• Advise various businesses and compliance stakeholders on control room related matters
• Assist to report any non-compliance to the Head of Group Compliance for further action
• Support training initiatives to educate employees on compliance standards and promote a culture of ethical trading practices
• Assist the SVP, CMS in any other responsibilities / tasks as assigned from time to time.

Job Requirements

#J-18808-Ljbffr