An exciting Head, Compliance job has just become available at a stockbroking company based in Kuala Lumpur. This is a role for any compliance professionals who are looking for an exciting opportunity to be a part of the changing landscape in the financial services industry.

About the Head, Compliance Role:
In this business critical role, you will need to lead the execution of the implementation of risk management and compliance frameworks and drive optimal performance.

Key Responsibilities:

• Develop, formulate and implement risk management framework and strategy
• Set standards for improving the efficiency of the firm’s risk management policies and procedures to ensure adequacy and effectiveness of firm's risk management and internal control system
• Review and assess the extent of compliance with established internal policies, standards, plans, procedures, laws and regulations
• Ensure consistent company-wide implementation of risk policies and procedures in accordance with regulatory requirements
• Ensure compliance, internal controls and satisfactory Audit ratings to policies, processes and governance requirements
• Assist the HODs in day-to-day business activities in relation to the preparation of compliance reporting to the Group Risk Committee and Management Risk Committee
• Provide regulatory compliance support, guidance, and advice to Business Units in regard to regulatory changes and updates
• Prepare timely compliance reports to relevant internal and external stakeholders
• Engage with internal and external stakeholders to ensure that the firm’s compliance objectives and priorities are aligned with business direction and regulatory expectations
• Provide oversight and support to business units on general compliance matters and firm’s initiatives and conduct risk-based compliance reviews on business processes
• Act as contact point for regulators and external stakeholders relevant to compliance, and regulatory issues
• Compile and coordinate all statutory submission for regulatory authorities and coordinate responses to regulators

To succeed in this Head, Compliance role, you will need to conduct compliance awareness programs and provide training to staff on any regulatory matters.

Key Requirements:

• More than six years of experience in risk management, compliance, or governance in the financial services industry
• Level-headed in handling matters especially with the regulatory bodies
• Able to lead and has strong stakeholder management skills
• Excellent written and verbal communication skills in both English and Bahasa Malaysia, able to analyse information very well, has strong attention to detail, and has strong organisational skills
• Able to be assertive as required, rationalise stances taken, and plan ahead in a constructive manner
• Problem-solving skills, acts with integrity, and has an investigative mindset

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 Head, 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