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Jobs in Malaysia   »   Jobs in Kuala Lumpur   »   Finance / Banking / Insurance jobs   »   Compliance Manager

Compliance Manager

Kuala Lumpur, Federal Territory of Kuala Lumpur, MY
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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

Job Location
23rd Floor, Menara Keck Seng, 203, Jalan Bukit Bintang, 55100, Kuala Lumpur
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Company Overview

UOB Kay Hian Securities (M) Sdn Bhd, a Participating Organisation of Bursa Malaysia Securities Berhad, is part of the UOB Kay Hian Group, the largest Singaporean stockbroker by both market capitalization and size of sales force. The Group has strong regional and global markets presence providing stockbroking and related services to institution and retail clients. With its extensive distribution network spanning across the globe in Malaysia, Hong Kong, Thailand, Indonesia, Philippines, Shanghai, London and New York, you can look forward to regional exposure in one of the most dynamic and challenging industries. Over 100 years of history behind us, we are committed to grooming elites in the securities trading and investments industry. If you are driven by excellence, a career at UOB Kay Hian is for you.

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Company Summary
UOB Kay Hian Securities (M) Sdn Bhd
201-500 employees
Stockbroking / Securities

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