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Functional (job responsibilities)
Assist Head of Compliance, RWM to:
 Implement RWM Compliance framework with constant reviews and updates on regulatory compliance of
the department.
 Drive and facilitate a culture of compliance across all business units within the division.
 Ensuring all business units within the department comply with internal policies, guidelines and regulatory
requirements
 Develop and provide guidance to all business units in completing self-assessments.
 Implement a plan for checking and/or perform on-site audit on compliance and controls of all business
units within the division.
 Able to identify root causes and take appropriate measures to rectify weaknesses immediately.
 Ensure prompt and accurate regulatory reporting required by the department on Compliance.
 Ensure immediate reporting and escalation of non-compliance incidences to Group Compliance i.e., upon
detection via ORMIS/CBR/ IR (whichever relevant).
 Coordinate any regulatory information requests during discussion, meetings and audits.
 Propose/recommend initiatives to revise existing internal processes and/or adopt new processes to
comply with new regulatory requirements, where appropriate.
 Build a close working relationship with key stakeholders, e.g., Group Compliance, Wealth Management
Operations, Group Risk, Group Compliance, Group Operations & Technology (including Legal), Group
Internal Audit, Hong Leong Islamic Bank (Syariah-related matters) and other business and functional
units (where relevant) in the implementation and enforcement of policies and guidelines.
 Establish and share best practices, with reference to competitor benchmarks as appropriate.
 Customize and deliver effective compliance training for the department.
 Involvement in any other task related to RWM Compliance as and when required by Management.

Executive (team/group responsibilities)
Assist Head of Compliance, Regional Wealth Management to:
 Drive department’s compliance with legal and regulatory requirements, as well as internal standards and
guidelines.
 Guide, mentor and coach all staff within the division on activities/initiatives to build knowledge and
experience in relation to applicable laws, rules, regulations and guidelines.
Organizational (organizational responsibilities)
 Assist in demonstrating to Management that the department’s compliance is adequately managed
through a robust 1st line of defence.
 Consolidate issues, slides and report preparation on department’s compliance to be shared to
Management, as and when required.

Education/Qualification
 Degree in Accounting/Finance/Banking/Economics/Law
 Excellent command of spoken and written English

Experience
 Minimum of 1-3 years’ working experience in either banking and financial Institution or Insurance industry
or Security Commission with responsibility for managing compliance or legal risk.
 Knowledge of legislative aspects/regulatory requirements of banking and financial institutions and
banking products are a key requirement.
 Demonstrable ability to effectively communicate, both orally and in writing, through all levels of the
organization.
 Good leadership skills, with the ability to see the big picture without losing attention to detail.
 Possesses analytical and critical thinking. Attentive to details and possess investigative nature.

Realise your full potential at Hong Leong Bank by applying now.