Team Lead, Capital Market Review & Advisory

About the Role

We are seeking a highly motivated Team Lead, Capital Market Review & Advisory to join our Investment Banking Compliance team at RHB Investment Bank. In this role, you will be responsible for overseeing compliance requirements relating to capital markets activities and operations, ensuring adherence to regulatory requirements, internal policies, and compliance standards. You will work closely with business units, senior management, and regulators while leading the Capital Market Review & Advisory (CMRA) team in providing effective compliance advisory and risk management support across the investment banking franchise. 

What you will be doing

• Establish, maintain, and monitor compliance standards and frameworks for RHB Investment Bank's capital markets businesses and operations to manage compliance risks effectively.
• Provide timely and accurate reporting of non-compliance matters to the Head of Capital Markets & Non-Broking Supervision and Chief Compliance Officer, Group IB Compliance.
• Identify and implement practical compliance solutions to address regulatory and compliance issues relating to capital markets activities.
• Oversee and review Compliance Risk Assessments for business units under CMNBS's purview.
• Ensure effective dissemination of new regulations, regulatory updates, and compliance requirements to capital markets business units.
• Draft, review, and finalize internal policies, procedures, and guidelines to ensure regulatory compliance.
• Lead and guide the CMRA team in providing advisory support on internal policies as well as regulations issued by Bank Negara Malaysia (BNM), Securities Commission Malaysia (SC), and Bursa Malaysia Securities Berhad.
• Prepare and maintain the annual compliance plan for the CMRA team.
• Provide leadership, coaching, training, and performance guidance to team members to support achievement of compliance objectives.
• Foster strong collaboration with senior management and capital markets business units across the organization.
• Liaise with regulators to understand regulatory expectations and obtain guidance on compliance matters.
• Work closely with Debt Capital Markets, Corporate Finance, Mergers & Acquisitions, Equity Capital Markets, and Client Coverage teams to strengthen internal controls and minimize compliance risks.
• Partner with Group Secretariat, Group Legal, and Group Internal Audit in managing and resolving compliance-related matters.

What we're looking for

• Bachelor's Degree, Master's Degree, or Professional Qualification in a relevant discipline.
• Minimum 7 years of compliance experience within a large and complex financial services organization.
• At least 3 years of people management or team leadership experience with accountability for team performance and outcomes.
• Strong understanding of capital markets transactions and investment banking activities.
• In-depth knowledge of capital markets regulations, including requirements and guidelines issued by the Securities Commission Malaysia and Bursa Malaysia Securities Berhad.
• Experience engaging and liaising with regulators is an added advantage.
• Strong policy drafting, review, and documentation skills.
• Excellent communication, stakeholder management, and interpersonal skills with the ability to engage senior management and business stakeholders effectively.
• Self-motivated, proactive, and able to work independently under pressure with minimal supervision.
• Strong analytical and problem-solving capabilities with a risk-based mindset.