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Compliance Specialist
2 weeks ago
Job details:
Posted 04 April 2024
SalaryRM5500 - RM7000 per month
LocationKuala Lumpur
Job type Permanent
DisciplineBanking & Financial Services
Reference272378_
The client that I am working with is a prominent financial institution operating within the Malaysian market. Known for its expertise in investment banking, brokerage services, and research analysis, the firm holds a significant presence in the region's financial landscape. You will be working closely with the head of department to provide compliance advisory to the business and organization.
Key Responsibilities:
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Conduct compliance monitoring and surveillance activities, including trade surveillance and staff dealing policy enforcement
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Monitor staff activities such as outside directorships, business interests, and gift and entertainment
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Assist in licensing and registration processes for new front office staff
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Follow up with existing representatives on their continuing obligations and changes in personal particulars
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Collaborate with internal stakeholders to complete regulatory surveys and forms
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Prepare periodic regulatory reports for submission to regulators
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Ensure all compliance correspondences and records are tracked and maintained
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Conduct compliance induction trainings for new staff and basic training reminders
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Assist in responding to internal queries on licensing requirements and compliance policies.
Qualifications:
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Preferably have at least 2-3 years of compliance, audit, or regulatory experience in the financial services sector
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Knowledge on structured warrants is a MUST
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Reasonable understanding of Compliance role and risk-based Compliance approach, and ability to identify and remediate key Compliance risks
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Sound knowledge on rules of Bursa Malaysia Securities, Bursa Malaysia Securities Clearing, Bursa Malaysia Depository, listing requirements, Capital Markets and Services Act, Securities Commission regulations
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Possess strong analytical, interpersonal, and presentation skills
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Demonstrate attention to detail and ability to multitask
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Proficient in Microsoft Office tools for data collection and interpretation.
How to Apply?
JTK Number:
JTKSM 995 | Company Registration Number:
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