To support and assist the Senior Vice President of Capital Market Supervision, Group Compliance (“SVP of CMS”), to promote and manage regulatory compliance requirements of investment banking, equity derivatives, treasury, research, private equity business in Kenanga Group. Besides, to also facilitate and assist in control room related matters.

Job Responsibilities

• Conduct independent review in relation to compliance with the applicable regulatory requirements and internal policies and procedures prior to submission of corporate proposals to the regulators
• Assist in the day-to-day control room related matters pertaining to maintaining and monitoring restricted list & blackout list, handling of crossing over the wall request, management of conflict of interest, reviewing of employee trades, etc
• Assist in designing and carrying out review based on the compliance program in accordance with CMS’s annual work plan
• Review trading records, ...