- 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.
- 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
23rd Floor, Menara Keck Seng, 203, Jalan Bukit Bintang, 55100, Kuala Lumpur
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