Avp/ VP, Compliance

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. Key Responsibilities Support the Head of Compliance in addressing regulatory requirements across various aspects of the business and operations Conduct compliance monitoring and review activities, including the use of compliance checklists and testing programmes, to assess adherence to regulatory requirements, internal policies and procedures Perform scheduled and ad hoc compliance reviews to identify regulatory risks and assess compliance with applicable laws, regulations and internal standards Provide regulatory compliance advisory support to Lines of Business on regulatory matters, financial crime compliance matters and new business initiatives Work closely with Lines of Business in identifying and mitigating compliance risks through the implementation and enhancement of compliance controls and procedures Support the implementation and maintenance of the firm's Financial Crime Compliance ("FCC") framework, including Anti-Money Laundering ("AML"), Countering the Financing of Terrorism ("CFT"), sanctions, anti-bribery and corruption, and fraud risk management requirements Conduct AML/CFT and sanctions-related reviews, including customer due diligence, enhanced due diligence, periodic reviews, name screening, transaction monitoring and suspicious transaction reporting processes Perform reviews of customer onboarding documentation and due diligence records to ensure compliance with regulatory and internal requirements Support the administration of staff account dealing and personal account trading controls, including pre-clearance reviews, monitoring of trading activities and reporting of exceptions Support Control Room activities, including maintenance of watch lists and restricted lists, administration of wall-crossing procedures, information barrier controls and conflict of interest processes Review and assess potential conflicts of interest and provide guidance on appropriate mitigating controls Monitor regulatory developments and analyse new or amended laws, regulations, guidelines and industry practices, and communicate relevant changes to the applicable Lines of Business Follow up on the implementation of procedural or system enhancements required to address new or amended regulatory requirements Review product-related training, client communications, marketing and promotional materials to ensure compliance with applicable regulatory requirements Act as a point of contact for regulatory authorities, external auditors and internal stakeholders in relation to inspections, information requests, surveys, thematic reviews and other compliance-related matters Support regulatory inspections, audits and reviews, including the coordination of information requests, preparation of responses and tracking of remediation actions Prepare compliance reports, management updates, regulatory submissions and other compliance-related documentation Support governance committees and forums through the preparation of compliance updates, reports, meeting materials and follow-up actions Deliver and facilitate compliance, regulatory and financial crime compliance training and awareness programmes Participate in Group compliance, governance and financial crime compliance initiatives and projects Investigate compliance incidents, breaches and regulatory matters, and support the implementation of remedial actions where required Provide practical and solution-oriented recommendations to address regulatory requirements while supporting business objectives Requirements Bachelor's degree of business relevance or higher At least 8 years of compliance or audit experience in similar capacity in the financial industry, preferably within a capital markets environment Good working knowledge of the Securities and Futures Act ("SFA"), Financial Advisers Act ("FAA"), MAS regulations, notices and guidelines, SGX rules and other relevant regulatory requirements Good working knowledge of MAS AML/CFT Notices and Guidelines, sanctions requirements, PDPA and IRAS regulations relating to FATCA and Common Reporting Standard ("CRS") Strong analytical, interpersonal and communication skills, with the ability to engage effectively with business and support functions Meticulous, proactive and able to work independently w…