Manager, Group Regulatory Advisory


Kuala Lumpur, MY, 50100

Category:  Permanent
Facility:  844

Key Responsibilities: 

Regulations Management 

  • Disseminate new/revised regulations to stakeholders.
  • Disseminate regulatory/industry consultations to relevant business unit to comment/review and coordinate the responses for submission.
  • Prepare and review Gap Analysis (“GA”) & Attestation of Compliance (“AOC”) for new/revised regulations submitted by stakeholders.
  • Review and maintain the GA & AOC Template Process. 
  • Review Group Compliance Risk Assessment (“GCRA”) submitted by stakeholders.
  • Maintenance of Regulatory Risk Matrix. 
  • Publish regulations to InAlliance Portal.

Regulatory Advisory for New Initiatives/Products/Services/Projects 

  • Provide compliance advisory to assist business unit/support unit to manage their compliance risk.
  • Review new product/service.
  • Review publication and communication materials.
  • Provide compliance advisory on the new initiatives/projects of the Bank.
  • Conduct training for new joiners and newly on-boarded customer facing staff, as and when required.
  • Continuous engagement with business unit/support unit.

Compliance Control Room and Chinese Walls

  • Manage Compliance Control Room and Chinese Walls controls and procedures.

Regulatory Breach Management

  • Review the Regulatory Breach Notification submitted by business unit/support function to ensure the reasonableness on their proposed corrective action plan. 
  • Notify regulators of any regulatory breaches. 
  • Submit secrecy breach report to regulators.

Regulatory Relationship 

  • Liaison party between the Bank and the regulators, government bodies and relevant associations.

 Other Ancillary Functions

  • Attend to any ad-hoc compliance advisory matters assigned by the Group Chief Compliance Officer.

Supervisory Roles

  • Review tasks completed by subordinates for completeness and alignment to overall strategy and compliance framework.
  • Provide guidance, supervision and motivation to team members to enable them to carry out their duties effectively on all functions/activities.



  • Sound knowledge of compliance and regulatory matters.
  • Strong leadership and strategic thinking.
  • Ability to influence and work collaboratively with colleagues across Group Compliance, Group Risk, Group Internal Audit, and other respective business unit/support unit.
  • Good analytical thinking and problem solving skills.
  • Good writing and communication skills.
  • Good interpersonal skills.
  • Able to lead and motivate the team under supervision.
  • Proactive and able to work independently as well as in a team.


  • Professional qualification or Degree in Banking & Finance, Business Administration, Law or other relevant discipline.
  • Knowledge in capital market and/or banking operations and products.


  • At least 7 years of working experience in capital market and/or a financial institution.
  • Experience in compliance, risk management or internal audit function is an added advantage.
  • Experience in capital market and/or banking operations or product development is an added advantage.