Manager, Business Unit Compliance Representative (Regional Wealth Management)

If you are looking to excel and make a difference, take a closer look at us…

Functional (job responsibilities)

• Support the effective embedding and operation of the bank's Compliance framework and control policies within the Division, per Malaysia regulation guidelines.

• Act as the primary liaison between the Business and Group Compliance, supporting the business with day-to-day compliance queries and devise appropriate, responsive compliance and audit solutions.

• Review new/revised regulatory guidelines, Board Policies, Procedures and product launch documents to ensure alignment with compliance standards.

• Design and deliver engaging compliance training programs for employees to promote a proactive risk-aware culture.

• Serve as a primary point of contact during internal and external audits, coordinating the gathering of documentation and ensure timely remediation of any audit findings.

• Coordinate regulatory information requests during discussions, meetings, and internal/external audits.

• Ensure immediate reporting and escalation of non-compliance incidences, complaints, or misconduct to Group Risk and Group Compliance.

• Build a close working relationship with key stakeholders (Group Compliance, Group Risk, Group Compliance, Group Operations & Technology (including Legal), Group Internal Audit, and other business and functional units) to help implement and enforce policies and procedures

• Establish and share best practices referencing competitor benchmarks. Customize and deliver effective training on risk management, control procedures, and compliance for the department.

• Partner with process owners to design, implement, and validate the effectiveness of controls.

• Identify root causes of control failures and take appropriate measures to rectify weaknesses immediately.

• Support in any other tasks related to RWM Business Compliance as and when required by the Management.

Managerial (team/group responsibilities)

• Guide, mentor and coach all staff within the Division on activities/initiatives to build their knowledge and experience in relation to applicable laws, rules, regulations and guidelines.

Organizational (organizational responsibilities)

• Assist in demonstrating to the Management that the department’s compliance is adequately managed through a robust First Line of Defence.

• Consolidate issues, and prepare reports and slides for the Management, as and when required.

Education/ Qualification

• Bachelor’s degree in business, banking, finance, law, or a related discipline.

• Excellent command of spoken and written English.

Experience

• 10 years of experience in financial services, with a strong focus on risk management, internal controls, or compliance within a First Line of Defence capacity, preferably in Wealth Management or Private Banking.

• Strong understanding of wealth management products, services, and associated operational and regulatory risks & controls e.g., AML/CFT, investment suitability, data privacy, market conduct, sales conduct

• Familiar with BNM regulatory requirements and guidance (e.g., Technology Risk Management Guidelines, Business Continuity Management Guidelines).

• Hands-on experience with Risk and Control Self-Assessment (RCSA) and audit management.

• Ability to multi-task, manage a high number of priorities in a fast-paced environment and deliver solutions in an effective and timely manner.

About Hong Leong Bank

We are a leading financial institution in Malaysia backed by a century of entrepreneurial heritage. Providing comprehensive financial services guided by a Digital-at-the-Core ethos has earned us industry recognition and accolades for our innovative approach in making banking simpler and more effortless for our customers. Our digital and physical offerings span across a vast nationwide network in Malaysia, strengthened with an expanding regional presence in Singapore, Hong Kong, Vietnam, Cambodia, and China.

We seek to strike a balance between diversity, inclusion and merit to achieve our mission of infusing diversity in thinking and skillsets into our organisation. Candidates are assessed based on merit and potential, in line with our mission to attract and recruit the best talent available. Expanding on our “Digital at the Core” ethos, we are progressively digitising the employee journey and experience to provide a strong foundation for our people to drive life-long learning, achieve their career aspirations and grow talent from within our organisation.

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