Compliance and Risk Manager

About Us:

CapBay operates an award-winning Supply Chain Finance and Peer-to-Peer (P2P) Financing platform. We facilitate inclusive business financing, using existing trade data and relationships. Through our proprietary credit-decisioning model, businesses of all sizes can obtain short-term financing while banks and investors can participate in high-quality financing deals. Additionally, we aim to revolutionize supply chain financing and continue our path of growth and expansion. With our recent market entries into Singapore and Thailand, we are seeking for an individual who is comfortable in communicating and coordinating with the various regional teams. You can find out more about us at

About the Role

The Compliance & Risk Manager will play a pivotal role in ensuring CapBay adheres to regulatory requirements and maintains its commitment to legal and ethical standards. This leadership position involves overseeing the development, implementation, and management of compliance programs, conducting comprehensive compliance audits, liaising with regulators, and ensuring the company's adherence to current laws and regulations.

Key Responsibilities:

In this role, you will be expected to:

• Lead the planning, development, and implementation of comprehensive compliance programs, including monitoring regulatory changes and conducting in-depth research on specific regulations and policies.
• Oversee and manage the Compliance Team in conducting detailed compliance and internal audits to ensure adherence to applicable laws and regulations.
• Act as the primary liaison with regulatory authorities (e.g., Securities Commission of Malaysia), managing data requests, audits, and periodic monitoring activities.
• Design and implement compliance management frameworks, documenting compliance requirements related to control flow, privacy, trust, monitoring, and licensing.
• Advise senior management on investigation protocols, resolution plans, and corrective measures for compliance issues.
• Maintain and oversee a depository of regulatory records, including company compliance policies, procedures, and internal audit reports.
• Leading company-wide risk identification, communication, measurement, and management.
• Partner with key stakeholders to develop and implement standards, processes, programs, and best practices in risk management.
• Identify potential risk exposures, recommending solutions, implementing approved programs, promoting loss prevention, and monitoring compliance adherence.

Key Qualifications and Requirements:

We are looking for someone who has:

• Bachelor's Degree in Law, Finance, Accounting, Business Administration, or related field.
• 5+ years in Compliance Management with leadership experience.
• Strong expertise in risk assessment and compliance audits.
• Experience in Financial Institutions' compliance functions preferred.
• Familiarity liaising with regulatory authorities, including the Securities Commission.
• Excellent English communication, analytical, and problem-solving skills.
• Detail-oriented, organized, and able to manage multiple priorities.
• High professionalism and discretion in handling confidential information.
• Independent, resourceful, and adaptable in fast-paced environments.
• Proficient in Microsoft Word and Excel.

Our Achievements

• Top 200 Global Fintech Companies
  – CNBC
• EY Emerging Entrepreneur Of The Year
• Fintech Start-up of the Year Malaysia
  – The Asset's Triple A Digital Awards
• Best Fintech for Plug & Play Tech Center
• Best FinTech Platform for Supply Chain Finance
  – The Asian Banker
• Finalist at Global FinTech Hackcelerator
  and featured at
  Singapore Fintech Festival

Apply now and be part of CapBay's growth story