Job Description

The incumbent will report directly to the Head of Compliance and will work closely with the Head to manage all compliance related matters.Duties and Responsibilities

• Support the Head of Compliance in managing and executing compliance functions, ensuring adherence to all relevant laws, regulations, and internal policies.
• Design, implement, and continuously improve compliance policies and procedures to ensure they are effective and aligned with regulatory requirements.
• Develop and enhance an effective AML/CFT Compliance Program, ensuring robust monitoring and ongoing improvements within the established framework.
• Regularly review and enhance the sanctions monitoring framework to ensure compliance with regulations.
• Oversee and coordinate the monitoring and reporting of suspicious transactions, ensuring timely and accurate submissions.
• Provide compliance support for domestic and potential foreign share trading markets, addressing any related compliance issues.
• Prepare and deliver detailed fact-finding reports for submission to the Management Committee or Board, for review and deliberation in a timely manner.
• Conduct and facilitate relevant Compliance training and ensure compliance with Securities Commission Malaysia (SC) Guidelines and other relevant regulations.
• Serve as the primary point of contact for external parties, including regulatory bodies such as the Securities Commission Malaysia, on compliance matters as needed.
• Ensure all mandatory regulatory reports are prepared and submitted accurately and timely.
• Assist with ad-hoc projects and initiatives as and when necessary.

• Candidate must possess at least a tertiary degree in a related field or has obtained the relevant accredited professional qualification in Compliance.
• More than 7 years of working experience in Compliance within the capital market industry or banking and financial institutions industry.
• The candidate will need to sit for the required Modules with SIDC i.e. Module 6, Module 7 and Module 11 to be registered as a Compliance Officer with the SC, if have not done so.
• Such modules of the SIDC examination as may be relevant to the scope and responsibilities of the Compliance Officer.
• Ability to access potential problems and make sound judgement around issues that may have an adverse effect on the business.
• Possess excellent communication, presentation and interpersonal skills.
• Ability to work effectively in a team and manage stakeholders.
• Possess analytical skills, critical thinking and is detail-oriented.
• Good knowledge of MS Office and Power Point.

Rakuten Trade