CrawlJobs Logo

Assistant Manager, Regulatory Compliance (Capital Markets)

https://www.randstad.com Logo

Randstad

Location Icon

Location:
Malaysia , Kuala Lumpur

Category Icon
Category:
Finance

Job Type Icon

Contract Type:
Not provided

Salary Icon

Salary:

72000.00 - 120000.00 MYR / Year
Save Job
Save Icon
Apply Position

Job Responsibility:

  • Assist in updating and implementing the Compliance Manual, AML protocols, and Anti-Bribery policies to stay current with changing laws
  • Monitor unit trust funds and private mandates to ensure strict adherence to internal policies and client requirements
  • Investigate suspicious customer activities and handle the reporting process for financial intelligence units
  • Manage the submission of required reports and ensure that all corporate and professional licenses are renewed within mandatory timeframes
  • Evaluate all marketing and promotional materials to ensure they meet legal standards
  • Provide regular briefings and training sessions to employees regarding updates to internal procedures and external regulations
  • Ensure the organization meets global standards, including FATCA, Common Reporting Standards (CRS), and other international investment principles

Requirements:

  • Relevant Diploma, Degree, or Professional qualification supported by 3 to 5 years of experience in banking or capital markets
  • Strong understanding of rules regarding anti-money laundering, counter-terrorism financing, and proliferation financing
  • BNM Regulation
  • Bachelor's Degree & a minimum 3 years working experience in a related field

Additional Information:

Job Posted:
May 19, 2026

Expiration:
July 05, 2026

Employment Type:
Fulltime
Work Type:
On-site work
Icon
Randstad - All Job Offers
Job Link Share:
Copy Link Icon
Facebook Icon Twitter Icon LinkedIn Icon
PREMIUM
More languages and countries
+ Unlock 31694 hidden job offers
Languages
English Čeština Deutsch Ελληνικά Español Français +15
Countries
United States United Kingdom India Canada Australia +
See plans
Plans from $2.99 / month

Looking for more opportunities? Search for other job offers that match your skills and interests.

Briefcase Icon

Similar Jobs for Assistant Manager, Regulatory Compliance (Capital Markets)

Non Trading Market Risk Management - Vice President

The BSM NTMR Snr Ld analyst will drive the production needs and lead various wor...
Location
Location
India , Mumbai
Salary
Salary:
Not provided
https://www.citi.com/ Logo
Citi
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 6-10 years experience in Financial Services, Treasury, and bank global liquidity investment portfolio
  • Excellent Excel and PowerPoint skills for report building and presentations
  • Intermediate knowledge in debt investment securities and non-trading market risk such as FXRBB, commodity risk, private equity risk and CSRBB, QMMF and CCAR for Pensions, ATM/AFS portfolios, etc.
  • Intermediate understanding of regulatory, compliance, risk management and financial management, and data governance concerns
  • Intermediate understanding of Bank ALM, Capital, and Liquidity considerations
  • Intermediate experience in debt investment securities analytics, measurement, metrics and methodologies
  • Demonstrated ability to collaboratively solution complex and dynamic processes
  • Proven ability to work under pressure in ambiguous environments
  • Excellent oral and written communications skills
  • Previous experience interacting and working with Executive Leaders
Job Responsibility
Job Responsibility
  • Drive the production needs and lead various workstreams to develop, enhance, measure, and monitor 1st line Non-Trading Market Risk framework including Governance and Oversight, Metrics, Methodology, Measurement, Data and Infrastructure, Process and Controls, and Management for Commodity/Equity/CSRBB Framework, FXRBB, stress testing analytics relating to CCAR and QMMF for Citi's global Pensions, and AFS/HTM securities, and asset allocation design
  • Be a lead analyst to support the implementation of and contribute to BSM's process by providing key analytical insights across BSM functions with a primary focus on asset allocation, FXRBB, OCI stress testing analytics for (CCAR) and QMMF for pensions and AFS /HTM securities, Commodity/Equity/CSRBB risk
  • Provide leadership, market experience, and subject matter expertise for enhancing BSM's analytics and methodologies and establishing Citi's first-line NTMR management framework
  • Use subject matter expertise to aid senior leaders in aligning governance and management framework, procedures and controls for all legal entities that have OCI Risk, FX risk, commodity risk, credit spread risk in the Banking Book
  • Liaise with businesses, legal entity treasury, CTI and Markets Treasury, and Controllers teams to ensure both an understanding and the ability to manage other non-trading market risks
  • Support the team and assist Manager with remediation gap efforts in other non-trading market risk as required by Tier 1 regulations and help to remediate regulatory/audit self-identified issues concerning other non-trading market risks in the banking book and achieve target state framework
  • Interact with 2nd line FinCRO function, regulators, senior management and Non-Traded Market Risk governance committees
  • Provides advice and counsel related to the technology or operations of the business
  • Fulltime
Read More
Arrow Right

Non-Trading Market Risk Management Senior Analyst

The BSM NTMR Senior Analyst will support the production needs in various workstr...
Location
Location
India , Mumbai
Salary
Salary:
Not provided
https://www.citi.com/ Logo
Citi
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Experience in Fixed Income & Bonds Valuation
  • 5+ years experience in Risk Management, Financial Services, Treasury, and bank global liquidity investment portfolio
  • Strong Excel and PowerPoint skills for report building and presentations
  • Basic knowledge in debt investment securities and non-trading market risk such as FXRBB, commodity risk, private equity risk and CSRBB, QMMF and CCAR for Pensions, ATM/AFS portfolios
  • Fundamental understanding of regulatory, compliance, risk management and financial management, and data governance concerns
  • Intermediate understanding of Bank ALM, Capital, and Liquidity considerations
  • Basic experience in debt investment securities analytics, measurement, metrics and methodologies
  • Demonstrated ability to collaboratively solution complex and dynamic processes
  • Ability to work under pressure in ambiguous environments
  • Strong oral and written communications skills with ability to synthesize complex concepts
Job Responsibility
Job Responsibility
  • Support the production needs in various workstreams to develop, enhance, measure, and monitor 1st line Non-Trading Market Risk framework including Governance and Oversight, Metrics, Methodology, Measurement, Data and Infrastructure, Process and Controls
  • Support analysis in the implementation of BSM's process by providing key analytical insights across BSM functions with a primary focus on asset allocation, FXRBB, OCI stress testing analytics for (CCAR) and QMMF for pensions and AFS/HTM securities, Commodity/Equity/CSRBB risk
  • Develop key management review presentations
  • Oversee the data results and management report metrics for decision processes
  • Support subject matter experts on the team to aid senior leaders in aligning governance and management framework, procedures and controls for all legal entities that have OCI Risk, FX risk, commodity risk, credit spread risk in the Banking Book
  • Support the team and assist Manager with remediation gap efforts in other non-trading market risk (excl IRRBB) as required by Tier 1 regulations
  • Contributes to enhancing processes to manage these exposures in a well governed environment
What we offer
What we offer
  • Access to telehealth options, health advocates, confidential counseling
  • Expanded Paid Parental Leave Policy
  • Programs to help manage financial well-being and plan for the future
  • Access to learning and development resources
  • Generous paid time off packages
  • Resources and tools to volunteer in communities
  • Fulltime
Read More
Arrow Right

Balance Sheet Management Analyst I

The Balance Sheet Mgmt Analyst I is a trainee professional role. Requires a good...
Location
Location
Philippines , Taguig
Salary
Salary:
Not provided
https://www.citi.com/ Logo
Citi
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Bachelor’s degree in Finance, Statistics, Actuarial Science, Mathematics
  • 2-5 years of experience
  • Advanced research, analysis and valuation skills, especially related to capital market instruments, including investment, loan, debt and derivative products
Job Responsibility
Job Responsibility
  • Contributes to the governance of funding, investing and analytics of the balance sheet
  • Participates in managing liquidity and interest rate risk, the capital/legal entity structure and capital planning as well as managing rating agency relationships
  • Involved in capital markets activities including commercial paper and securitization
  • liquidity, accrual risk oversight and transfer pricing
  • Manages implementation of procedures and development of analyses and reports
  • Integrates established disciplinary knowledge within own specialty area with basic knowledge of related industry practices
  • Demonstrates thorough knowledge of how the team interacts with others in accomplishing the goals of the area
  • Has working knowledge of industry practices and standards
  • Delivers routine and defined outputs
  • Escalates problems or issues relating to transactions, processes, reports or, procedures as appropriate
What we offer
What we offer
  • Access to telehealth options, health advocates, confidential counseling
  • Expanded Paid Parental Leave Policy
  • Resources to manage financial well-being
  • Access to an array of learning and development resources
  • Generous paid time off packages
  • Resources and tools to volunteer in the communities
  • Fulltime
Read More
Arrow Right

Business Risk and Controls Officer

The Business Control Manager (BCM) is a first line of defense investment supervi...
Location
Location
United Kingdom , Belfast
Salary
Salary:
Not provided
https://www.citi.com/ Logo
Citi
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Relevant work experience in Business Risk & Controls, Private Banking, Wealth Management or Capital Markets role(s)
  • Strong understanding of UK FCA Conduct of Business (COB) rules and EU Regulations, particularly regarding Investment sales and suitability requirements
  • MS Excel, MS Power Point, SQL a plus
  • Consistently demonstrates clear and concise written and verbal communication skills
  • Effective organizational and influencing skills required
  • Excellent problem-solving skills, with ability to dissect complex scenarios, see the big pictures with high attention to critical details
  • Demonstrated ability to develop, implement and challenge strategy and process improvement initiatives
Job Responsibility
Job Responsibility
  • Responsible for managing and supporting multiple risk and control programs for the organization including defining the strategy, approach, processes, quality, tools and reporting that provide global risk management consistency and excellence
  • Works closely with business partners on findings and makes recommendations on improving practices
  • Examines procedures for consistency and gaps relative to regulations in addition to impacts on customer experience
  • Review and approve client suitability profiles (IOS)
  • Monitors post-trade daily risk management reports relating to the Investment Decision Framework of the Retail Distribution of Investment Policy (RDIP), to ensure policy adherence and drivers of exceptions
  • Assists in the resolution of investment-related client complaints
  • Monitors Licensing and Registration requirements
  • Post-trade regulatory documentation delivery monitoring reviews
  • Assists in the management of trade errors and corrections
  • Review and approval of new discretionary accounts
What we offer
What we offer
  • Generous holiday allowance
  • increasing with tenure
  • A discretional annual performance related bonus
  • Private medical insurance packages to suit your personal circumstances
  • Employee Assistance Program
  • Award winning Pension Plan
  • Paid Parental Leave
  • Special discounts for employees, family, and friends
  • Access to an array of learning and development resources
  • Fulltime
Read More
Arrow Right
New

Manager, Compliance Testing Europe

As an integral member of the UK Compliance Testing team, the Manager role helps ...
Location
Location
United Kingdom , London
Salary
Salary:
Not provided
brewin.co.uk Logo
Brewin Dolphin
Expiration Date
May 28, 2026
Flip Icon
Requirements
Requirements
  • Proven Experience in Regulatory Compliance Testing and or Internal Audit
  • Experience within Financial Services (Capital Markets / Wealth Management / Asset Management)
  • Strong planning and organisation, analytical thinking, and problem-solving capabilities
  • Good senior stakeholder management
Job Responsibility
Job Responsibility
  • Assess the adequacy of, adherence to, and the effectiveness of processes and day-to-day controls to manage regulatory compliance risk
  • Provide an opinion on the effectiveness of the processes and Regulatory Compliance Management (RCM) controls
  • Lead and deliver timely and accurate compliance testing reviews to manage Regulatory and Conduct risk, across the bank
  • Work with Compliance and business colleagues to track and advise on the appropriateness of action plans, to resolve issues identified during testing reviews
  • Contribute towards the continual enhancement of the testing approach and annual testing program, enhancing the existing Enterprise Monitoring and Testing control standards
  • Assist in the delivery of timely responses to internal audit
  • Support ad-hoc projects and activities as required, such as methodology improvements, stakeholder management and committee reporting
What we offer
What we offer
  • Comprehensive Total Rewards Program including bonuses, flexible benefits and competitive compensation
  • Leaders who support your development through coaching and managing opportunities
  • Opportunities to work with the best in the field
  • Ability to make a difference and lasting impact
  • Work in a dynamic, collaborative, progressive, and high-performing team
  • A world-class training program in financial services
  • Fulltime
Read More
Arrow Right

Treasury ALM – Senior Vice President

The role will drive production needs and lead workstreams to develop, enhance, m...
Location
Location
India , Mumbai
Salary
Salary:
Not provided
https://www.citi.com/ Logo
Citi
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • 10+ years experience in Financial Services, Treasury, and bank global liquidity investment portfolio
  • 5+ years of managerial and market experience required
  • Ability to succinctly articulate data insights using business intelligence and data visualization techniques
  • Excellent Excel and PowerPoint skills for report building and presentations used to influence
  • Deep subject matter expertise in debt investment securities and non-trading market risk such as FXRBB, commodity risk, private equity risk and CSRBB, QMMF and CCAR for Pensions, ATM/AFS portfolios, etc.
  • Strong understanding of regulatory, compliance, risk management and financial management, and data governance concerns
  • Strong understanding of Bank ALM, Capital, and Liquidity considerations
  • Extensive experience in debt investment securities analytics, measurement, metrics and methodologies
  • Experience in stakeholder management to achieve a complex rollout across many functions, time zones, systems
  • Demonstrated ability to collaboratively solution complex and dynamic processes
Job Responsibility
Job Responsibility
  • Offer team support to the implementation of and contribute to BSM’s process by providing key analytical insights across BSM functions with a primary focus on asset allocation, FXRBB, OCI stress testing analytics for (CCAR) and QMMF for pensions and AFS /HTM securities, Commodity/Equity/CSRBB risk
  • Provide leadership, market experience, and subject matter expertise for enhancing BSM’s analytics and methodologies and establishing Citi's first-line NTMR management framework
  • Use subject matter expertise to aid senior leaders in aligning governance and management framework, procedures and controls for all legal entities that have OCI Risk, FX risk, commodity risk, credit spread risk in the Banking Book
  • Liaise with businesses, legal entity treasury, CTI and Markets Treasury, and Controllers teams to ensure both an understanding and the ability to manage other non-trading market risks
  • Assist Manager with remediation gap efforts in other non-trading market risk as required by Tier 1 regulations and help to remediate regulatory/audit self-identified issues concerning other non-trading market risks in the banking book and achieve target state framework
  • Interact with 2nd line FinCRO function, regulators, senior management and Non-Traded Market Risk governance committees
  • Aid Business Head and senior leadership to develop, manage, and retain talent with moderate leadership experience demonstrated through empowerment, situational awareness, increasing transparency and conflict resolution on large-scale programs and data transformation
  • Identify solutions to business inquiries in a timely manner and own the implementation / execution steps to autonomously drive open issues to completion
  • Direct project prioritization, platform direction, and future state planning and strategic direction
What we offer
What we offer
  • Equal opportunity employer
  • Accessibility support for persons with disabilities
  • Work-life balance benefits
  • Growth and career opportunities
  • Fulltime
Read More
Arrow Right

Capital Markets Attorney

Robert Half is seeking an experienced Capital Markets Attorney to support a broa...
Location
Location
United States , New York
Salary
Salary:
60.00 USD / Hour
https://www.roberthalf.com Logo
Robert Half
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Juris Doctor (JD) from an accredited law school
  • admission to at least one U.S. jurisdiction (active or in good standing)
  • prior experience in capital markets, derivatives, or financial services law
  • strong knowledge of ISDA documentation, derivatives regulation, and global regulatory frameworks
  • ability to manage multiple priorities in a remote, fast‑paced environment
  • excellent written and verbal communication skills with a business‑oriented approach
Job Responsibility
Job Responsibility
  • Draft, review, and negotiate a wide range of capital markets documentation, including ISDA Master Agreements, Credit Support Annexes (CSAs), and related confirmation documents
  • Advise on globally applicable regulatory frameworks, including SEC and CFTC regulations, Dodd‑Frank Act requirements, and other rules impacting swap dealers and capital markets activities
  • Monitor regulatory changes and assess their impact on existing and proposed business activities
  • Partner with business and legal stakeholders to support the development of new financial products
  • Identify and address legal and regulatory considerations to ensure products are structured in compliance with applicable laws
  • Collaborate with global legal and business teams to efficiently onboard new clients
  • Provide ongoing legal guidance and strategic support to senior business colleagues
  • Assist in responding to regulatory inquiries and examinations
  • Represent the firm in industry forums, working groups, and regulatory discussions as needed
  • Conduct risk‑focused legal reviews, including netting, enforceability, and jurisdictional analyses, to mitigate legal and regulatory exposure
What we offer
What we offer
  • medical, vision, dental, and life and disability insurance
  • eligible to enroll in our company 401(k) plan
  • free online training
  • Fulltime
Read More
Arrow Right
New

Vice President, Business Management – Global Regulatory Services & Capital Markets Operations EMEA APAC

As the Vice President (VP), Business Management – Global Regulatory Services and...
Location
Location
United Kingdom , London
Salary
Salary:
Not provided
brewin.co.uk Logo
Brewin Dolphin
Expiration Date
May 25, 2026
Flip Icon
Requirements
Requirements
  • Strong working knowledge of Capital Markets operational functions and processes
  • Proven understanding of the fundamentals of Capital Markets trading and the transaction lifecycle of the asset classes that BCS operations support
  • Strong understanding of RBC Capital Markets organisational structure (front office sales and trading, middle office, product control, BCS, regulatory/compliance, etc.)
  • Knowledge of Regulatory Trade / Transaction Reporting would be beneficial
  • Financial skills, including understanding budgeting processes
  • Ability to partner effectively with Stakeholder groups such as QTS
  • Strong innovative, problem-solving and analytical skills
  • a self-starter capable of functioning in an autonomous manner
Job Responsibility
Job Responsibility
  • Reporting into the CM Operations Business Management function in London, the role will partner and provide operational support across the Global Head of Regulatory Services and Capital Markets Operations for EMEA / APAC
  • Act as a bridge between senior management, operations, and other key stakeholders to optimise workflows and manage budgets effectively
  • Coordinate with regional operations teams to ensure consistent business management practices
  • Lead and support annual budgeting and multi-year financial planning processes including CAPEX, expenses, headcount, travel and hiring approvals
  • Monitor and manage cost allocation oversight and charging mechanisms for services
  • Oversee projects that drive operational efficiency and compliance, drive process improvements, performance analysis, and risk mitigation initiatives to align operational processes with regulatory requirements and industry standards
  • Manage resource allocation across teams and projects to optimize performance and achieve business objectives
  • Deliver actionable insights to senior local and global leaders, supporting decision-making
  • Foster strong relationships with internal and external stakeholders to enhance collaboration and alignment
  • The preparation of accurate, timely and compliant documents and reports, gathering and documenting inputs from the wider Reg Services / Regional Operations / Global CM Operations team and stakeholders as appropriate
What we offer
What we offer
  • bonuses
  • flexible benefits
  • competitive compensation
  • Leaders who support your development through coaching and managing opportunities
  • Opportunities to work with the best in the field
  • Ability to make a difference and lasting impact
  • Work in a dynamic, collaborative, progressive, and high-performing team
  • A world-class training program in financial services
  • Fulltime
!
Read More
Arrow Right