Compliance, AVP

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

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