Compliance Executive

1 week ago

Bangsar, Malaysia Staffing Services Full time

**Responsibilities**:Role primarily provide support to the independent sales audit function by performing sales audits under the Balanced Scorecard (BSC) framework and as well as supporting the AML/CFT function by conducting customer due diligence (CDD) and name screening reviews.

**Distribution Compliance**
- To assist in conducting regular post transaction reviews ensuring the financial representatives meet the stipulated competence and compliance standard (i.e. Financial Advisory Act, MAS Balanced Scorecard Framework).
- Data preparation for samples selection, client surveys, reporting.
- Trigger client service rectifications and follow up to ensure all rectifications are duly completed.
- Provide administrative support and related activities for reporting to management & MAS, BSC Appeals, internal/external audits.
- Assist to review and assess findings to identify common trends of infraction relating to the regulatory requirements.
- Prepare training slides pertaining to Balanced Scorecard Framework and other matters to bridge any competency gaps identified.
- Participate in the enhancement and UAT testing of BSC system.
- Provide support in regular/thematic/ad-hoc audit to ensure compliance to relevant legislation and company policies and procedures e.g. review of switching/replacement of policies, tracking persistency, etc.
- Stay abreast of the MAS/FAA and related regulatory requirements.
- Any other ad hoc duties as advised by manager.

**AML/CFT**
- Perform onboarding and ongoing name screening, which includes evaluating and resolving potential and exact matches.
- Conduct enhanced customer due diligence checks on identified higher risk customers. This include conducting searches, gathering data, recording evidence and enquiry with respective business unit(s). Ensure review and disposition is adequately documented.
- Prepare Suspicious Transaction Report (“STR”) memo for any suspicious alerts.
- Any other tasks that may be assigned from time to time.

**Qualifications**
- Diploma or Degree holder with experience in insurance / financial services industry.
- Fresh Graduates keen to advance career in compliance & risk management field are encouraged to apply.
- Good Microsoft skills especially in Words (e.g. Mail Merge), Excel (e.g. Pivot), Forms, PowerPoint, and Adobe.
- Good communication skills, meticulous, diligent, and team player with strong analytical skill.

**Job Types**: Full-time, Permanent

Pay: RM3,000.00 - RM4,500.00 per month

Schedule:

- Monday to Friday

Application Question(s):

- How many years of experience do you have in using MS Excel for creating & preparation of reports? What are the Excel functions/skills that you are proficient in?

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