Compliance Officer

3 days ago

Kuala Lumpur, Malaysia moomoo Full time

**Compliance Officer**

**Responsibilities**
- Regulatory Compliance: Stay abreast of all applicable laws, regulations, and guidelines issued by relevant regulatory authorities and ensure the company's activities align with these requirements.
- Trade Surveillance: Detect and prevent market abuse, insider trading, and other fraudulent activities in compliance with regulatory expectations through the company’s trade surveillance systems. Review daily and monthly alerts from internal surveillance system, conduct investigations on compliance and red flags, and report suspicious cases. Assist in analyze, maintain and improve rule settings of the trade surveillance program to ensure effectiveness and reliability against market dynamics.
- AML/CFT Compliance: Follow the company's AML/CFT policies and procedures, including customer due diligence (CDD) and Know Your Customer (KYC) processes, to mitigate the risk of money laundering and terrorist financing. Assist in performing AML checking and ongoing monitoring for new and existing accounts.
- Reporting and Documentation: Prepare and submit regular compliance reports, highlighting any identified compliance issues and recommended remedial actions. Maintain accurate and up-to-date compliance documentation. Handle regulatory reporting and inquiries with the relevant exchanges and regulators.
- Training and Education: Provide compliance training and awareness programs to employees to foster a culture of compliance throughout the organization.
- Regulatory Liaison: Assist and participate in regulatory inspections and audits. Manage internal and external audits, inspections, and investigations from auditors, Exchanges, and Regulators.
- Internal Controls: Collaborate with internal stakeholders to implement and improve internal controls that promote compliance with regulatory requirements and company policies.
- Incident Management: Investigate and manage any compliance-related incidents, taking appropriate corrective actions and reporting incidents as required.
- Other ad-hoc tasks as per assigned from time to time, including ad-hoc projects and assignments related to compliance.

**Requirements**:
**Requirements**:

- Bachelor's Degree or above, preferably in Legal/Compliance or Accounting or a related discipline.
- Good understanding in business compliance, general compliance & trade surveillance. Experienced in supporting Hong Kong market will be an added advantage.
- Sound knowledge of the requirements from the relevant regulatory authorities.
- Good command in English and Chinese languages (both oral and written skills). Proficiency in Putonghua is a plus.
- Independent with convincing level of maturity, meticulous, result-oriented, self-motivated with the ability to work under pressure and be a team player. Lively and cheerful personality, strong sense of responsibility, strong communication and interpersonal skills, strong observation and adaptability.
- Professional certifications related to compliance, such as Certified Compliance Professional (CCP) or Certified Anti-Money Laundering Specialist (CAMS), would be an advantage.
- Sound knowledge of a wide variety of financial instrument types, including equities, structured products, derivatives, foreign exchange leverage products and Virtual Assets.

**Benefits**

We offer a comprehensive and holistic work experience and package as follows:

- Competitive compensation & benefits.
- Fun loving and diverse work environment.
- Business casual work attire every day.

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