Compliance Reviewer, Senior Manager

Job Purpose:Support Head, Group Compliance Review Department (HOD) in conducting, preparing, and delivering compliance monitoring activities, ensuring regulatory compliance through risk-based reviews and ongoing monitoring.Support compliance functions and activities involving MBSB Group, MBSB Bank and MIDF Business Entities (the Group), in accordance with applicable regulatory requirements and internal policies set by the Group Compliance Division.Key Responsibilities:Support HOD in planning and development Compliance Review ProgramsCompliance Review Plan and activities (Head Office and Branches)Assist HOD in developing risk assessment framework and conduct annual risk assessment exercise:Annual Compliance Risk AssessmentAnnual risk assessment on Code of Conduct for Malaysia Wholesale Financial MarketsMonitoring and supervision of Review ActivitiesResponsible as a Team Lead for Head Office Review activities covering the following areas (not exhaustive):Compliance Thematic ReviewExecute thematic reviews on the Group’s compliance with the relevant regulatory requirements based on the risk assessment results and annual plan independently.Execute daily Trade Surveillance review i.e. perform investigation on the market misconduct alerts in Bloomberg Transaction Cost Analysis (BTCA).Prepare report, work program, memorandum and term of reference for Compliance Thematic Review and Semi-Annually Compliance Healthcheck.Review validation of Head Office’s Compliance Thematic Review and Semi-Annually Compliance Healthcheck.Provide recommendations for resolution of any identified weaknesses / gaps in both controls and state of compliance.Provide continuous coaching to other Compliance Reviewers to improve efficiency and effectiveness of Compliance Thematic Review.Compliance statuses monitoringPrepare and review the validation of compliance issues tracking.Review and assess the outcomes of Annual Statement of Compliance Certification exercise for submission to Senior Management.Briefing / RefresherPrepare the briefing material and monitor the briefing conducted on Health check and Annual Statement of Compliance Certification exercises.Assist HOD on any compliance related matters / ad-hoc projects within the Group and its entities as delegated from time to time, in alignment with the Group’s priorities and objectives.