Senior Compliance Officer null

Job description

To assist in ensuring RHB Investment Bank Securities/Futures Broking activities comply with all relevant Rules and Regulations, internal policies, and procedures.

Responsibilities

• To vet the account opening forms to ensure compliance with the relevant Rules and Regulations.
• To constantly monitor any updating of the client’s particular to ensure the client’s KYC is up-to-date, proper documentation is maintained, and necessary authorization is obtained.
• To closely monitor and review dealings by clients to ensure adherence with the relevant Rules and Regulations and in line with RHBIB’s internal policies.
• To vet the form for opening of any internal accounts i.e. clearing account, proprietary account, and error account, to ensure compliance with the regulatory requirements and RHBIB’s internal policies.
• To review the operations and handling of trust accounts, relating to any deposits and withdrawals made by the clients and Dealer’s Representatives/Futures Broker Representatives to ensure compliance with the relevant Rules and Regulations.
• To constantly monitor the settlement of trades to ensure compliance with the relevant Rules and Regulations.
• To review and ensure periodic reports are filed accordingly and promptly.
• To conduct compliance functions for the sub-branches either by way of remote monitoring or on-site visit to the branches.

 Requirements

• Bachelor Degree - Accountancy/Finance/Banking or equivalent.
• Knowledge of the Capital Market and regulatory requirements governing Securities/Futures markets will be an advantage.
• Possess good business sense, strong communication, and analytical skills; able to work under minimum supervision.