Compliance Specialist, Assistant Manager

6 months ago


Kuala Lumpur, Malaysia Ingenious Job Full time

**Location**:Bukit Bintang, Kuala Lumpur

**Company background**:
Global investment bank that engages in brokerage services, private wealth management, investment banking, investment management and financial research

**Responsibilities**:

- Perform compliance reviews and compliance risk assessments, identify any weaknesses and, where necessary, recommend follow-up corrective actions
- Liaise with local management, staff and compliance management in the determination, follow-up and escalation of issues arising from monitoring activities.
- Ensure proper reporting of violations or potential violations to Head of Compliance
- Assist in reporting and follow-up of any compliance related internal investigations
- Assist in the preparation of internal reports as requested in order to keep Head of Compliance informed of the progress of compliance efforts, including preparation of materials for the Audit & Risk Management Committee and Board Meetings.

**Requirements**:

- Degree holder
- Preferably with 3 years experience in Investment Audits
- Familiar with Derivatives
- Must be able to sit for SIDC's Module 11
- To be able to adapt and advise on current market trend of the capital market.
- Willing to lead a team / stakeholders and be proactive.

**Salary**: RM6,000.00 - RM7,000.00 per month

**Benefits**:

- Health insurance
- Maternity leave
- Meal allowance
- Opportunities for promotion
- Parental leave
- Professional development
- Vision insurance

Schedule:

- Day shift
- Monday to Friday

Supplemental pay types:

- 13th month salary
- Overtime pay
- Performance bonus
- Yearly bonus

Application Question(s):

- How many years of experience in Investment Audit ?
- Do you passed SIDC Module 11 ?
- What is your expected salary ?
- When you are available to work ?

**Experience**:

- Compliance: 3 years (required)



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