Compliance Manager

For those who aspire to grow and progress

A career journey like no other awaits you at RHB Securities (Cambodia). Join our young, dynamic and passionate team!

RHB Securities (Cambodia) Plc. is the securities underwriter licensed by the Securities and Exchange Commission of Cambodia. We are the wholly-owned subsidiary of RHB Investment Bank Berhad, the largest investment bank in Malaysia by assets and is the wholly-owned subsidiary of RHB Bank Berhad.

RHB Banking Group is a multinational regional financial services provider that is committed to deliver complete solutions to our clients through differentiated segment offerings and an ecosystem that supports simple, fast and seamless customer experience, underpinned by cohesive and inspired workforce and relationship built with stakeholders Headquartered and listed in Malaysia, RHB Banking Group is the longest established local bank, formed though the mergers of several banks, the oldest of which was founded in 1913. RHB Banking Group and its subsidiaries provide a full range of services ranging from retail banking, business banking, corporate and investment banking, Islamic banking, transaction banking to treasury, insurance, asset management, private equity and stockbroking services.

We are currently looking for qualified candidates to fulfill the position of Compliance Manager.

Key Responsibilities:

Strategy and Coordination

• Develop local strategy and compliance action plan to align with RHB Banking Groups AML governance framework to support the company overall business strategy and growth. Ensure the Company complies with relevant Acts, Laws, directives and guidelines issued by the regulatory bodies including the SECC and the CSX and the Company's internal policies and procedures. Carry out the Group / Company Compliance policy, practice & procedures to ensure all company activities, process, manual & guidance are in compliance with internal requirement & external regulatory governance. Compile documents and information required in response to queries from the regulators
• Compliance Training: Ensure the team maintained an updated AML training materials and track completion of AML elearning (where applicable)

Compliance Review and Monitoring:

• Review, attend and ensure proper and timely closure of AML System alerts
• Evaluate and submit STR and attend to any follow-up requests from the relevant authorities
• Identify any event of non-compliance/breaches and recommend remedial action to rectify matter in an efficient and practical manner in respect to AML
• Review client complaints and follow-up on the client complaints register and ensure that all complaints are duly noted and addressed promptly. Compliance Risk Assessment & Management
• Coordinate the Compliance Risk Assessment (CRA) and AML Risk Assessment (AMLRA) exercise for entity
• Identify, assess, monitor and report compliance risks
• Provide action plan on findings from the CRA/AMLRA Reporting
• Report suspicious account and/or suspicious transaction to the regulatory authority
• Ensure timely submission of periodic reports by relevant departments to the regulators.
• Prepare all Compliance reporting for internal consumption or external submission within deadline.
• Prepare report to the committee upon identifying an event of non-compliance/ issues of breaches.
• Prepare all Compliance reporting for internal consumption or external submission within deadline.

Requirements:

• Law Degree holder with 3-year compliance related working experience financial industry.
• Well verse of the rules and regulation of Securities and Exchange Regulator of Cambodia (SERC) & Cambodia Financial Intelligence Unit (CAFIU)