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Compliance Manager

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An exciting Compliance Manager job has just become available at a fintech based in Kuala Lumpur. This is a role for compliance professionals especially those who looking for an exciting opportunity to be a part of the dynamic and fast paced landscape in the financial services industry.

About the Compliance Manager job:

In this business-critical role, you will play a pivotal role in ensuring that the organisation’s operations adhere to the regulatory framework set forth by Securities Commission and Bursa Malaysia.

Key Responsibilities

  • Regulatory Compliance: Stay abreast of all applicable laws, regulations, and guidelines issued by relevant regulatory authorities (e.g., SC and Bursa) and ensure the company's activities align with these requirements.
  • Trade Surveillance: Oversee the design and implementation of comprehensive trade surveillance systems to detect and prevent market abuse, insider trading, and other fraudulent activities in compliance with regulatory expectations.
  • AML/CFT Compliance: Develop and manage the company's AML/CFT policies and procedures, including customer due diligence (CDD) and Know Your Customer (KYC) processes, to mitigate the risk of money laundering and terrorist financing.
  • Risk Assessment: Conduct periodic risk assessments and compliance reviews to identify potential compliance vulnerabilities and recommend appropriate risk mitigation strategies.
  • Reporting and Documentation: Prepare and submit regular compliance reports to management, highlighting any significant compliance issues and recommending remedial actions. Maintain accurate and up-to-date compliance documentation.
  • Training and Education: Provide compliance training and awareness programs to employees to foster a culture of compliance throughout the organization
  • Regulatory Liaison: Assist and participate in regulatory inspections and audits.
  • Internal Controls: Collaborate with internal stakeholders to design and implement robust internal controls that promote compliance with regulatory requirements and company policies.
  • Incident Management: Investigate and manage any compliance-related incidents, taking appropriate corrective actions and reporting incidents as required.

To succeed in the Compliance Manager role, you will play a crucial role in safeguarding the organisation’s reputation and ensuring the trust of the organisation’s stakeholders by maintaining the highest standards of regulatory compliance in the dynamic landscape of the fintech industry.

Key Requirements

  • Bachelor’s Degree or above in Legal/Compliance or equivalent.
  • 5 years of working experience in the related field. Preferred candidates with solid industry experience in stockbroking, financial market, and securities industries. In-depth knowledge in trade surveillance and AML/CFT.
  • Sufficient level of knowledge on the requirements from the relevant regulatory authorities, especially on SC and Bursa.
  • Good command in English, Malay and Chinese languages (both oral and written skills).
  • Computer literacy, able to perform work with relevant programs and products – Words, Excel, PPT and more.
  • Independent with convincing level of maturity, meticulous, result-oriented, self-motivated with the ability to work under pressure and be a team player. Lively and cheerful personality, strong sense of responsibility, strong communication and interpersonal skills, strong observation and adaptability.
  • Professional certifications related to compliance, such as Certified Compliance Professional (CCP), would be an advantage.

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 Compliance Manager job.

Apply today or call 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

Contract Type: FULL_TIME

Specialism: Banking & Financial Services

Focus: Compliance

Industry: Financial Services

Salary: Negotiable

Workplace Type: Hybrid

Experience Level: Mid Management

Location: Kuala Lumpur

Job Reference: 1AKTYJ-D3AC0612

Date posted: 12 June 2024

Consultant: Madiha MdRidza

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