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To provide assistance and support to Head Investment Banking & Control Room in order to promote , lead and manage the culture and practice of regulatory compliance and ethical standards in the conduct of Investment Banking business throughout CIMB Group and to oversee the Group's compliance with those requirements and applicable standards.
To provide assistance and support to Head Investment Banking Compliance Malaysia and/or Head Wholesale Banking Compliance to ensure the effectiveness of the Group's management of compliance and regulatory risk issues through the establishment and maintenance of appropriate and effective frameworks and procedures, that compliance and regulatory risks are anticipated, identified, escalated and reported to stakeholders, mitigated and managed so as to avoid any financial and reputational loss.
To develop, implement and monitor the implementation of the CIMB Group Conflict Management and Chinese Wall Policy and Procedures
Strategy and Planning
To assist in the implementation of Group Compliance policies and procedures in relation to investment banking and control room.
To assist in the effective management of compliance matters in CIMB Group.
To assist in the management of critical issues and provide solution, where needed.
To advise stakeholders on compliance and regulatory issues as required.
To assist in supporting the stakeholders in establishing appropriate monitoring mechanism for meeting regulatory obligations in the conduct of their businesses and in accordance with Group Compliance policies and procedures.
To provide advisory and appropriate training, where required.
To review conflict check request and provide clearance accordingly.
To assist in the day to day control room related matters pertaining to Personal account dealing approvals and maintaining the grey & restricted list
To assist in the review of Group P&P and policies of the relevant Business/Support Units/Subsidiaries in relation to investment banking & control room related topics.
To assist the head's in the implementation and completion of the compliance review/monitoring functions in accordance with Group Compliance annual compliance work plan.
To assist the head's to champion/facilitate/coordinate collaboration with other departments and overseas branches/entities across countries for sharing of best practices and business opportunities
To assist the head's in any other responsibilities / tasks as assigned from time to time.
Bachelor's Degree or Professional Qualification in the relevant discipline (Finance/ Business/ Law)
5 years of experience of relevant banking/compliance in bank / financial institutions.
In-depth knowledge of Investment Banking products and services, including the related/applicable rules and regulations.
knowledge of Contol Room function, including the related/applicable rules and regulations.
Personal integrity and ethics.
Good judgment in enabling the provision of advice on regulation and practice, proactive management of compliance and regulatory risks.
Good presentation and influencing skills, in putting forward proposals for clients, whenever necessary.
Internal Number: 5856544
About CIMB Malaysia
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