About this Asset Management Compliance Officer role at RHB Bank
RHB Bank · Onsite · Kuala Lumpur
- To establish and ensure the Business Division comply with relevant laws, rules, regulations and guidelines on the fund management industry by conducting Compliance Reviews;
- To provide advice, guidance, support and implement compliance solution to Business Divisions to ensure effective implementation of the compliance objective/culture;
- Conduct assigned Compliance Reviews in accordance with the Annual Work Plan;
- Manage and provide guidance/knowledge to team members in the areas of their assignment/review;
- Perform review on Investment and Operations areas such as reviewing asset allocation and investment restrictions, checking and clearing breaches in Violation Manager, sending e-mail to fund managers to seek clarification on the breaches and subsequently, incorporating in monthly Compliance Report to the Board of Directors (“BOD”), reviewing regulatory submission to the SC via ComRep (XBRL) on monthly, half yearly and annual basis and also, other regulatory body, reviewing the policies and procedures manuals of the company in line with changes in the laws, regulations, guidelines and industry developments, preparing ad-hoc reports/papers from Compliance to the BOD, Investment Committee, Management Committee, such as status update of Compliance Annual Work Plan, Compliance Risk Assessment, and others;
- Coordinate with relevant business units and compilation of information for regulatory visits, trustee visits, audits conducted by Employees Provident Fund (“EPF”)’s auditor, statutory laws and Federation of Investment Managers Malaysia (“FIMM”)’s requests;
- Dissemination of information such as new or revised guidelines, laws, rules and regulations, and industry or market updates to the management and relevant employees of the company;
- Collaborate with relevant business and information technology teams to establish appropriate governance, controls and oversight for the use of AI and data-driven solutions, including considerations relating to data privacy, confidentiality, model risk, accuracy, transparency and regulatory requirements.
- ·Support the development and implementation of AI-assisted compliance analytics, dashboards and management information to facilitate early identification of regulatory, investment and operational risks.
- Any other responsibilities/assignments as assigned by the Head of Compliance, Asset Management from time to time.
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