Compliance Manager

Job Descriptions

• Perform compliance review and testing as per compliance plan and programme;
• Analyse trading activities to ensure orderly market conduct from clients/dealers
• Carry AML review and manage suspicious transaction reporting
• Assist the Head of Compliance (HOC) in planning and updating the compliance programme
• Timely dissemination of Bursa Malaysia, Securities Commission, FIMM and Bank Negara Malaysia regulations to the relevant business/operation unit and advise on the steps to be taken to ensure compliance;
• Assist to develop/revise related Compliance Policies and Procedures;
• Assist in evaluation of new products and services to ensure they are in line with regulatory requirement;
• Liaise with local management, staff and compliance management on issues arising from compliance monitoring activities.
• Ensure timely reporting of violations or potential violation to HOC.
• Assist in the preparation of internal reports as requested in order to keep HOC informed of the progress of compliance review, including preparation of materials for the Audit & Risk Management Committee and Board Meetings.
• Assist in the preparation of training materials and compliance memorandum.
• To perform any other tasks as assigned and delegated by HOC.

Job Requirements

• Possess professional qualification or Degree in Finance, Economics or other relevant discipline.
• Minimum 3 years of relevant experience in Capital Market
• Passed Module 6 & 7, 11 of Securities Commission Licensing Examination. 
• Registered Compliance Officer with Securities Commission and Bursa Malaysia
• Possess good understanding of the rules and regulations relating to Bursa Malaysia, Securities Commission, FIMM and Bank Negara Malaysia.
• Resourceful, meticulous, analytical and possess good interpersonal, report writing and problem-solving skills.
• Ability to keep pace with changing regulatory environment and its impact on the compliance risks.

Perks & Benefits

• Allowance (travel stipends, transportation, etc.)
• Nearby public transport
• Central location
• Casual dress code
• Medical insurance