Manager, Capital Market Supervision, Group Compliance

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 reviews to ensure compliance with regulatory requirements prior to submission of corporate proposals.
• Support control room operations, including restricted & blackout lists , wall-crossing requests, conflicts of interest, and employee trading reviews.
• Assist in designing and executing compliance reviews aligned with CMS’s annual work plan.
• Review trading records and data to identify red flags and potential misconduct .
• Prepare regulatory reports for Senior Management, Board, and Regulators.
• S...