Associate/AVP, BCCO (Business Monitoring & Reporting 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
- Perform quality assurance on AML/CFT, Sanctions, AB&C, and other regulatory matters and escalate to Maybank Securities Compliance for any gaps noted.
- Track trainings relating to AML/CFT, Sanctions, AB&C, and other regulatory matters and submit the training plan progress to Maybank Securities Compliance.
- Track, validate and monitor the status of all issues highlighted by relevant regulators, internal audit, external auditors, Maybank Securities Compliance or any other parties on Maybank Securities and report the status to Senior Management and Maybank Securities Compliance.
- Oversee the Operation Risk Management (“ORM”) initiatives undertaken by the appointed Operational Risk Officers.
- Review RCSA updates and other risk related documents and provide relevant updates to Head of BCCO prior to the finalisation and submission in the ORM system.
- Maintain business related registers in areas including but not limited to AML/CFT, Sanctions, AB&C and COI with information collated from Line of Business and Line of Function.
- 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
- Perform quality assurance on AML/CFT, Sanctions, AB&C, and other regulatory matters and escalate to Maybank Securities Compliance for any gaps noted.
- Track trainings relating to AML/CFT, Sanctions, AB&C, and other regulatory matters and submit the training plan progress to Maybank Securities Compliance.
- Track, validate and monitor the status of all issues highlighted by relevant regulators, internal audit, external auditors, Maybank Securities Compliance or any other parties on Maybank Securities and report the status to Senior Management and Maybank Securities Compliance.
- Oversee the Operation Risk Management (“ORM”) initiatives undertaken by the appointed Operational Risk Officers.
- Review RCSA updates and other risk related documents and provide relevant updates to Head of BCCO prior to the finalisation and submission in the ORM system.
- Maintain business related registers in areas including but not limited to AML/CFT, Sanctions, AB&C and COI with information collated from Line of Business and Line of Function.
- 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.