Officer / Assistant Manager / Manager, Compliance

To assist the Head of Compliance in performing the Compliance department’s monitoring function to ensure the Company’s adherence to relevant guidelines issued by the Securities Commission Malaysia (“SC”), the Rules of Bursa Malaysia and relevant Acts pertaining to the securities industry.

1. To review relevant reports and documents in accordance with the department’s compliance programme.
2. To liaise and communicate with other departments’ personnel, follow up on rectification of lapses / non-compliance found in the course of performing compliance review and job scope.
3. To perform coordinating role with other departments in preparing for regulatory submissions to the SC, Bursa Malaysia and other regulatory authorities in a timely manner.
4. To review relevant regulatory reporting (weekly, monthly, quarterly, half-yearly and annual) for submission to the SC, Bursa Malaysia and other regulatory authorities.
5. To assist in educating relevant employees of the Company pertaining to any changes in regulatory requirements and ensure relevant regulatory changes are properly implemented within the Company.
6. To assist in liaising with the SC and Bursa Malaysia including attending to their queries.
7. To assist in enhancing the Compliance department’s compliance programme to be in line with the latest regulatory requirements applicable to the Company.
8. To participate in branch compliance visits (outstation), on quarterly basis, for the purpose of performing compliance review.

1. Degree holder in Law / Finance / Economics / Accounting / Business Administration or related field.
2. At least 5 years of capital market / stockbroking working experience for Manager / Assistant Manager position and well-versed with relevant regulatory requirements governing the Malaysian capital market.
3. Fresh graduates with keen interest in the capital market are encouraged for Officer position.
4. Meticulous, detail-oriented and inquisitive candidates who are self-motivated to achieve the desired results.
5. Good communication and inter-personal skills.
6. Able to write well in English.
7. Willing to travel outstation to branch offices on a quarterly basis.

How do your skills match this job?

• Which of the following types of qualifications do you have?
• Which of the following statements best describes your right to work in Malaysia?
• How many years' experience do you have as a compliance officer?
• What's your expected monthly basic salary?
• Are you willing to travel for this role when required?
• How many years' experience do you have as a compliance manager?