Compliance Analyst

4 weeks ago

Kuala Lumpur, Malaysia Alta Alternative Investments Pte. Ltd Full time

**Compliance Analyst**:

- Legal- Kuala Lumpur, Malaysia**We’re Building the Future of Capital Markets; ‍**:
enabling entrepreneurship, job creation, financial inclusion, and economic resilience
- As Asia's largest licensed digital securities exchange for alternative investments, Alta is at the forefront of building critical capital market infrastructure. We believe that access to capital markets are pivotal in all economies, we recognize that our role in building this critical infrastructure goes beyond facilitating trades; it paves the way for entrepreneurship, job creation, financial inclusion, and economic resilience, fostering a brighter future for emerging markets and economies._

**Empowering Private Markets**: Through our Digital Exchange, we enable the tokenization and digital custody of alternative assets. This end-to-end solution simplifies and expedites the trading of smaller asset blocks, ultimately facilitating access and liquidity in private markets.

**Innovative Financial Ecosystem**: Our journey has seen us transition from securities trading and distribution of comprehensive products, including equities, private credit, funds, and asset-backed securities (“ABS”) (representing Real World Assets ("RWA") like whiskies, wines, art, watches, and real estate) to include fund management and digital custody services.

As the only integrated securities exchange, brokerage, and fund management group with the necessary regulatory licenses and a proven track record in Southeast Asia, we are actively exploring new channels and partnerships to extend our impact to entrepreneurs and investors globally.

Established in 2016 and headquartered in Singapore, Alta operates offices globally. We welcome energetic and creative individuals to be part of this ambitious journey with us.

**About the role**:
We're seeking analytical and enthusiastic individuals to join our team as Compliance Analysts in Kuala Lumpur, Malaysia. In this role, you'll be responsible in ensuring that the company stays updated on regulatory changes and provides compliance guidance to senior management and business stakeholders.

**Some Of The Key Responsibilities Include**:

- Keep abreast with regulatory changes and provide compliance advisory to senior management and business.
- Working with internal and external stakeholders with regards to requests on compliance related matters.
- Providing monthly compliance reports, logging of regulatory developments, personal dealing registers, compliance checklist, complaints registers, gifts registers, error logs and regulatory communication logs.
- Maintain compliance-related registers and records in line with regulatory requirements.
- Provide compliance advisory & support on client due diligence, perform AML/KYC process, ensure end-to-end management & documentation for the onboarding of new clients, KYC periodic review of existing clients and AML/CFT matters.
- Review KYC information submitted by clients, conduct AML/CFT name screening, risk rate clients and maintain documentation in accordance with regulatory requirements and internal AML/KYC policies and procedures.
- Engagement with the SC or other regulatory bodies on regulatory matters (e.g., technical breaches and remediation which includes queries and advice on remediation (if necessary).
- Maintains documentation of compliance activities, such as complaints received and investigation outcomes.
- Handling of internal or external audits and gap analysis pre/post audit, whilst addressing audit issues with internal or external auditors.
- Files appropriate compliance reports with regulatory agencies.

**About you**:

- At least 3 years of relevant experience in compliance work in a SC regulated financial industry, asset management firm, securities regulator, broker, or RMO / ECF operator would be an advantage.
- Experience in drafting policies, procedures and manuals as well as preparing reports for regulatory bodies and internal management.
- Excellent interpersonal and communication skills and a strong desire to learn and succeed.
- Excellent analytical skills and ability to accurately interpret complex documents and policies.
- Strong time management and organizational skills; able to manage and meet multiple deadlines.
- Fast learner, organized, meticulous, and highly detail oriented.
- Proficiency in Microsoft Office and ability to pick up new technology quickly.

**Bonus Attributes**:

- A proactive attitude, time sensitive with a sense of urgency, question and clarify ambiguities proactively.
- A sense of ownership and willingness to take on responsibilities and challenges thrive on logic.
- Accept and create changes with flexibility.
- Ability to work in a team and under pressure in a fast-paced environment.
- Some experience in finance industry preferred.

Only successful applicants will be contacted.

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