Associate/AVP, BCCO (Business Enablement & Governance Unit)
Salary undisclosed
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Maybank Securities is a leading brokerage house and investment bank in ASEAN. Maybank Securities provides services in corporate finance, debt markets, equity capital markets, derivatives, retail and institutional securities broking and research.
Job Description
- Support Head of BCCO to oversee the development and implementation of AML/CFT, Sanctions, AB&C, and other regulatory matters through impact assessment/gap analysis of regulatory change on business or introduction of new business, product and process.
- Work closely with Maybank Securities Compliance and keep abreast with new laws and regulations, changes in regulations and regulatory landscape, industry trends, best practices and international standards for effective management of business compliance risk.
- Collaborate with Line of Business to implement regulatory change and develop policies, procedures, systems, controls and training, including engaging and following up with Line of Business on the action plan/completion to remediate the identified gaps.
- Provide guidance/business advisory to Line of Business on AML/CFT, Sanctions, AB&C, and other regulatory matters e.g. SFA; FAA; PDPA; FATCA;CRS etc. and develop a holistic view of the business and application of policies and procedures.
- Independent monitoring of Line of Business compliance with AML/CFT, Sanctions, AB&C, and other regulatory requirements e.g. SFA; FAA; PDPA; FATCA;CRS etc.
- Provide business-specific input for the reports submission to Maybank Securities Compliance and the design of processes and controls from Group Compliance & Maybank Securities Compliance to balance between customer experience and controls identified.
- Onboarding/Annual due diligence of licensed representatives – review and assess of candidate’s background including performing screening against Worldcheck One and provide feedbacks to Line of Business prior to candidate onboarding.
- Assist Head of BCCO to fulfil reporting obligations.
- Represent/Lead any initiative/project/ad-hoc projects assigned to BCCO and deliver results within the targeted timeline.
- Execute / carry out any other ad-hoc responsibilities as assigned by Head of BCCO from time to time.
Requirements
- Bachelor's degree of business relevance or higher
- Minimum 4-8 years of financial crime compliance/KYC experience in similar capacity in the financial industry, preferably within a capital markets or banking environment
- Discipline/Related Field: Legal, Audit, Risk Management
- Excellent working knowledge of the relevant MAS AML/CFT notices and guidelines and sanctions
- Good working knowledge of PDPA and IRAS Regulations on International Tax such as FATCA and Common Reporting Standards
- Strong understanding of capital markets, investment banking and business needs and able to provide solution-driven and pragmatic AML/CFT advice
- Able to work well in a team
- Meticulous and organised
We regret that only shortlisted candidates will be notified.
Maybank Securities is a leading brokerage house and investment bank in ASEAN. Maybank Securities provides services in corporate finance, debt markets, equity capital markets, derivatives, retail and institutional securities broking and research.
Job Description
- Support Head of BCCO to oversee the development and implementation of AML/CFT, Sanctions, AB&C, and other regulatory matters through impact assessment/gap analysis of regulatory change on business or introduction of new business, product and process.
- Work closely with Maybank Securities Compliance and keep abreast with new laws and regulations, changes in regulations and regulatory landscape, industry trends, best practices and international standards for effective management of business compliance risk.
- Collaborate with Line of Business to implement regulatory change and develop policies, procedures, systems, controls and training, including engaging and following up with Line of Business on the action plan/completion to remediate the identified gaps.
- Provide guidance/business advisory to Line of Business on AML/CFT, Sanctions, AB&C, and other regulatory matters e.g. SFA; FAA; PDPA; FATCA;CRS etc. and develop a holistic view of the business and application of policies and procedures.
- Independent monitoring of Line of Business compliance with AML/CFT, Sanctions, AB&C, and other regulatory requirements e.g. SFA; FAA; PDPA; FATCA;CRS etc.
- Provide business-specific input for the reports submission to Maybank Securities Compliance and the design of processes and controls from Group Compliance & Maybank Securities Compliance to balance between customer experience and controls identified.
- Onboarding/Annual due diligence of licensed representatives – review and assess of candidate’s background including performing screening against Worldcheck One and provide feedbacks to Line of Business prior to candidate onboarding.
- Assist Head of BCCO to fulfil reporting obligations.
- Represent/Lead any initiative/project/ad-hoc projects assigned to BCCO and deliver results within the targeted timeline.
- Execute / carry out any other ad-hoc responsibilities as assigned by Head of BCCO from time to time.
Requirements
- Bachelor's degree of business relevance or higher
- Minimum 4-8 years of financial crime compliance/KYC experience in similar capacity in the financial industry, preferably within a capital markets or banking environment
- Discipline/Related Field: Legal, Audit, Risk Management
- Excellent working knowledge of the relevant MAS AML/CFT notices and guidelines and sanctions
- Good working knowledge of PDPA and IRAS Regulations on International Tax such as FATCA and Common Reporting Standards
- Strong understanding of capital markets, investment banking and business needs and able to provide solution-driven and pragmatic AML/CFT advice
- Able to work well in a team
- Meticulous and organised
We regret that only shortlisted candidates will be notified.