Compliance Executive

3 weeks ago

Kuala Lumpur, Malaysia Raffcomm Sdn Bhd Full time

**Job Summary**

We are looking for motivated and experienced Compliance Executive to ensure the compliance of e-Money provider in accordance with e-Money guidelines, AMLA, Payment Systems Act, Financial Services Act and other relevant laws, rules and regulations issued by the Regulators (Government/BNM) for Raffcomm Group ("Company").

Work in Business Compliance Department to assist and to provide all manners of leagal and compliance support and to ensure the Company's business and operations operate within the relevant legal & regulatory framework in Malaysia.

**The Compliance Executive functions**:

- Provide advice in relation to laws and regulations affecting the organization including but not limited to e-Money guidelines, AMLA, Payment Systems Act, Financial Services Act, Personal Data Protection Act 2010 (“PDPA”), BNM’s requirements, rules and regulations, BNM’s notices and guidelines and to ensure compliance with relevant laws, rules and regulations governing the Company;
- Liaise with internal stakeholder and external parties such as the relevant authorities and bodies and auditors, as and when required;
- Ensure the Company puts in place adequate policies as required by the law including AML/ CFT regulatory rules and framework;
- Ensure all relevant staff are aware of the firm’s compliance measures including AML/ CFT regulatory rules and framework;
- Regularly assess the compliance control measures and procedures including AML/ CFT;
- Assist Head of Business Compliance to oversee corporate governance, assurance and compliance, direction and implementation to ensure it satisfies the licensing and security requirements, its business goals through control, audits, and setting measurable target, performance indicators, service levels and quality standards;
- Assist Head of Business Compliance to lead, direct, manage, implement and control governance, assurance and compliance program;
- Conduct due diligence, internal audit, risk management & business continuity analysis and activities and tracks the remedial actions to close any compliance gaps;
- Maintain the Company’s business disclosure and internal procedural documentations and to ensure continual compliance with the relevant laws;
- To undertake group-wide exercises to ensure compliance with new laws or requirements from time to time enacted, such as PDPA etc., provide counsel, assistance and support in creation of support enforcement of compliance policies that are applicable across all departments;
- Work with the Security Officer to monitor and test the management and protection of personal data and customer information;
- Draft and review all policy documents and procedures for the Company in a timely and accurate manner to ensure compliance with all related laws and regulations;
- Liaise with internal stakeholder and external parties such as the relevant authorities and bodies and auditors, as and when required;
- Liaise with regulatory authority on matters relevant to the Company’s licences i.e. BNM;
- Ensure compliance with the internal controls, statutory regulations and other formalities;
- Formulates the compliance management policy that includes Compliance Review Monitoring;
- Monitors and investigates non-compliance events and incidence(s);
- Performs Regulatory Compliance Risk Assessment on the Company’s financial products;
- Reviews policies for operational compliance risk considerations;
- Conducts and/ or coordinates risk control self-assessments;
- Be the primary “RO” (Reporting Officer)/ Point of Contact to local regulators (BNM);
- In-charge of regulatory and STRs submission to related regulators (BNM);
- Promptly reviews the applicable regulatory portal, updates the Company on any new/ amended circulars/ regulations published by the relevant regulators (BNM); and
- Responsible to ensure that the Company is compliant with applicable government regulations and
reviews factors that could negatively affect its applicable license(s) to operate.
- Reporting: Preparing necessary periodic or ad-hoc reports to the relevant authorities; and reports to the Board of Directors and assigned stakeholders.

**Requirements**:

- Preferably 2-4 years' proven work experience in the related role / field or in compliance, risk management, audit or AML/CFT related operations within the banking or financial services insustry;
- Knowledge of key applicable regulations (e.g. BNM’s requirements, rules and regulations, BNM’s notices and guidelines, AML/ CFT regulations, etc.);
- Experienced in drafting legal documents (agreements, policies);
- Experience in performing Regulatory Compliance Risk Assessment and Compliance Review Monitoring, with familiarity of methodologies and testing;
- Proficient in English (reading, speaking and writing);
- Excellent analytical skills and excellent attention to detail to identify and correct any necessary parts/details;
- Able to work independently, a good team player with good interpersonal

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