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.
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.
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
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