- Assist in managing the implementation of regulatory requirements and Group Compliance policies and procedures in relation to the Covered Business.
- Assist in the management of compliance related risk, conflict of interest of the Covered Business in CIMB Group.
- Assist to ensure the effective management of compliance matters in relation to the Covered Businessmatters in CIMB Group.
- Assume active involvement in management of critical issues and provide solution, where needed.
- Assist to advise CIMB Securities Board of Directors & relevant stakeholders on compliance and regulatory issues as required.
- Support the stakeholders in establishing appropriate monitoring mechanism for meeting regulatory obligations in the conduct of their businesses and in accordance with Group Compliance policies and procedures.
- Assist in ensuring the implementation of appropriate and effective risk based monitoring.
- Assist to provide advisory and appropriate training, where required. Support the Regional Head of Wholesale Banking Compliance and stakeholders in meeting CIMBGroup’s business and strategic objectives.
- Assist in the implementation and completion of the compliance review/monitoring functions in accordance with Group Compliance annual compliance work plan.
- Champion collaboration with other departments and facilitate collaboration across countries for sharing of best practices and business opportunities
- Any other responsibilities / tasks as assigned by the Regional Head, Wholesale Banking Compliance/ Director – Wholesale Banking Compliance (Investment Banking)from time to time.
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