Execute Controls to ensure Regulatory Control team meets CIB Onboarding Control standards and Audit requirements.
Define and execute Control framework to ensure Client agreements drafted in accordance to Legal standards and Regulations.
Collaborate with Markets Business COO, Compliance, Client Relationship Managers, Onboarding team and Technology to support Business & Client Enablement initiatives and Regulatory Compliance....
Communicate change regulations, guidance documents and industry standards that impact business to local stakeholders and global RAQA team.
Support as liaison with regulatory authorities, relevant industries association representative, distributors and external consultants.
Support new product launch and distribution through regulatory speed to market initiatives and partnership with local stakeholders and relevant global team to ensure compliance in product placement in SEA countries....
Develop, maintain and periodically review AML/CFT, sanctions, customer risk appetite and other compliance policies and procedures.
Maintain the compliance policy register and help ensure policies are properly reviewed, approved, communicated and accessible.
Maintain and periodically update the Malaysian entity’s AML/CFT risk assessment and support the implementation and tracking of associated risk-mitigation measures....
SWEC & Code Submissions: Format, package, and upload technical/general SWEC code applications across all platforms.
Pre-Audit & Formatting: Review incoming OEM principal appointment letters for foundational formatting (validity dates, correct entity name, territory clauses, color-scan standards) before handing to directors.
Tracking & Outreach: Prepare and organize OEM principal correspondence — draft follow-up requests, track outstanding appointment letters, and flag expiring authorizations for director review....
SWEC & Code Submissions: Format, package, and upload technical/general SWEC code applications across all platforms.
Pre-Audit & Formatting: Review incoming OEM principal appointment letters for foundational formatting (validity dates, correct entity name, territory clauses, color-scan standards) before handing to directors.
Tracking & Outreach: Prepare and organize OEM principal correspondence — draft follow-up requests, track outstanding appointment letters, and flag expiring authorizations for director review....