Manager, Compliance - Market Surveillance

A leading multinational financial services company is looking for a Compliance Manager with specialization in Market Surveillance based in KL.

What you'll do:

• Perform daily monitoring of clients' trading activities utilizing surveillance systems to identify, analyse, and investigate potential instances of market abuse, insider trading, or violations of market conduct regulations.
• Conduct timely and comprehensive reviews of alerts and irregular trading patterns, escalating significant findings to senior management and regulatory authorities as necessary.
• Draft and submit surveillance reports while coordinating with internal and external stakeholders during investigations and audits.
• Support the enhancement and implementation of the compliance framework, policies, and SOPs to ensure adherence to applicable laws, regulations, and internal standard.
• Lead and contribute to compliance risk assessments, gap analyses, and the creation of action plans to address identified shortcomings.
• Compile regular and ad-hoc compliance and risk reports for management, board committees, and relevant regulatory authorities.
• Assist management in maintaining strong relationships with regulatory bodies and addressing regulatory inquiries, inspections, and audits.
• Coordinate and conduct internal compliance training sessions and workshops, with a focus on market conduct and updates to regulations.
• Foster a culture of compliance awareness and ethical behaviour throughout all levels of the organization.
• Oversee and mentor junior compliance staff by assigning tasks, providing guidance, and supporting their professional growth.
• Track the achievement of team objectives and KPIs while promoting high standards of performance, engagement, and integrity.
• Collaborate on cross-functional projects, the new product approval process, and other group initiatives from a compliance standpoint.
• Manage the escalation and resolution of compliance-related queries, issues, and incidents, recommending process improvements as needed.
• Stay informed about emerging regulatory trends and propose proactive adjustments to company policies and procedures.

What you bring:

• Preferred Bachelor’s Degree in accounting, business, finance, or law.
• 5–7 years of experience in compliance, risk management, or regulatory roles within financial services, with a strong preference for market surveillance expertise.
• In-depth knowledge of capital markets, securities regulations, AML/CFT laws, and market conduct standards.
• Skilled in utilizing market surveillance tools and compliance monitoring systems.
• Strong analytical, investigative, and problem-solving abilities.
• Familiarity with the Financial Technology sector and adaptability to fast-paced environments.

What's next:

If you're ready to take your career to the next level through this Manager, Compliance - Market Surveillance role.

Apply today by clicking on the link!

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