Experience

AmInvestment Bank Berhad (Malaysia)

• Banking
• 200 - 300 Employee

• Head of Branch Operations (Manager), Stock Broking

  • Nov 2014 - Present

  Overall responsibilities includes overseeing the Broking operations and business at Branch level of AmInvestment Broking unit that includes: HEAD OF BRANCH / OPERATIONS | AMINVESTMENT BANK BERHAD | SINCE 2014Managing the branch operations of a Stock Broking with 10 staffs and 53 Dealer Representatives (DR). Overseeing and attending to DR’s enquiries and providing support to ensure smooth business operations.Reviewing of documentation of on-boarding clients and existing clients.Reviewing and recommending margin facilities for new and existing margin clients.Reviewing and approving of credit limits for client for clients and dealer representative.Preparing and submission of various monthly reporting to head office.Ensuring all branch operations are in compliance with company policy and procedure as well as regulatory requirements.Monitoring and supervising subordinates as well as conducting annual performance appraisal.Preparing LOD, KRI, BIA and also conducting yearly Business Continuity Plan.Attending and assisting in enquiries/correspondence from internal or external regulators such as Compliance, Bursa and Securities Commissions.Arrange for town hall meetings held in branchEnsuring maintenance for facilities in branch such as fire alarm system, genset, etc. are carried out on timely basis.Liaise with head office closely on business strategies, policies and directives. Ensuring implementation of polices / directives from head office executed effectively.Provide on the job training for new staff and providing guidance to all staff at all times.Holds the position of a complaint officer. Prepares reply letters to clients who has lodge in compliant.Approving authoring for expenditures within the branchOther branch operations related task and ad-hoc duties*Acquired Masters in Business Administration (MBA) with merits in 2014.Currently pursuing Professional Credit Certification (CCE) by Asian Institute of Chartered Bankers (AICB). Show less

• Executive/ Assistance Manager, Credit Control Operations,

  • Feb 2004 - Oct 2014

  Previous Job Experiences.- Part of crisis team in AmFraser, Singapore during the collapse of penny stocks in the Singapore Stock Exchange (SGX) in Oct 2013. Seconded to AmFraser for 5 months. Commuted up & down during these period. Managed to rectify and asses the issues in AmFraser. Credit control policies drafted for AmFraser- Back in AmInvestment (HQ) was Involved in BackOffice system enhancement projects.- Job functions among other involves monitoring & reviewing of remisiers trading activities, in accordance with Bursa rules and regulations as well as SC market conduct policies.- Assist Remisiers or clients on all matters relating to credit control operations ( Remisier Support) - Credit Control Operations related functions.. Show less



JF Apex Securities

• Executive

  • 2002 - 2004