VP, Futures Broking Compliance

An exciting VP, Futures Broking Compliance role has just become available in a reputable investment banking company based in Kuala Lumpur. This is a role for professionals who are looking for an exciting opportunity to be a part of the changing landscape in the financial services industry.

About the VP, Futures Broking Compliance Role:
In this business critical role, you will need to supervise and facilitate compliance with the regulatory requirements applicable to the regulated activity of dealing in derivatives undertaken by the organisation.

Key Responsibilities:

• Supervise and review compliance by business units, branches and advisers with applicable regulatory requirements
• Develop (new) or update (existing) compliance checklists to reflect current regulations
• Provide advice to internal stakeholders who seek compliance advisory in relation to the relevant regulatory requirements
• Ensure that the preparation of the reports for submission to the regulatory authorities are undertaken within the stipulated time frame
• Ensure that the preparation of the reports and papers to the board of directors and internal committees are undertaken within stipulated time frame
• Carry out engagements and/or training to raise awareness of compliance issues and applicable regulatory requirements
• Manage and attend to queries and information requested by the relevant regulator(s)
• Supervise all AML/CFT reviews undertaken
• Timely AML/CFT reporting to internal as well external stakeholders

To succeed in the VP, Futures Broking Compliance role, you will need to monitor relevant screening conducted by the line departments as required.

Key Requirements:

• Degree in Accounting, Finance, Business Studies or Law
• Pass the relevant examination set by the regulators relating to compliance
• Eight years of working experience in the securities of financial industry or in any other related industry

This organisation is an exciting addition to the financial services industry. The firm is very focused on developing and training their people to the highest standards.

If you are driven, determined and want to take the next step in your career, this is the role for you. Great career progression opportunities await the right person in this VP, Futures Broking Compliance role.

Apply today or contact me to discuss this new opportunity.

Do note that we will only be in touch if your application is shortlisted.

Agensi Pekerjaan Robert Walters Sdn Bhd
Business Registration Number : 729828-T
Licence Number : JTKSM 423C