Senior Officer, Compliance

10 hours ago

Kuala Lumpur, Kuala Lumpur, Malaysia UOB KAY HIAN (M) SDN. BHD. Full time $100,000 - $150,000 per year
Senior Officer, Compliance

Job Highlights

· Opportunity to develop a professional career in Compliance

· Exposure to financial market regulations and compliance frameworks

· Supportive work environment with learning and career growth opportunities


Job Description

We are seeking dedicated and Experienced Senior Compliance Officers to join our team at the Kuala Lumpur Principal Office. You will play a key role in ensuring the company's operations comply with regulatory standards and internal policies.

Key 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.

Job Requirements

  • Possess professional qualification or Degree in Accountancy, Finance, IT, Law or other relevant discipline.
  • 2–3 years of experience in Audit, Compliance, or Risk Management,
  • Preferably with 3 years experience in Stockbroking or Investment bank.
  • Candidates who have passed any Securities Industry Development Corporation (SIDC) Licensing Examination module will have an added advantage.
  • Strong understanding of regulatory requirements from Bursa Malaysia, Securities Commission Malaysia (SC), and Bank Negara Malaysia (BNM).
  • Resourceful, meticulous, and analytical with excellent interpersonal, problem-solving, and report-writing skills.
  • Ability to keep pace with changing regulatory environment and its impact on the compliance risks.

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