Category:- Manager- Industry:- Banking & Financial Services- Location:- Kuala Lumpur - W.P Kuala Lumpur- Education:- Bachelor Degree- Country:- Malaysia- Salary Range:- 12000-15000- Experience(Min):- 5-6years- Job Type:- Full Time Permanent- Requirement:- Possess professional qualification or Degree in Finance, Economics or other relevant disciplines.- At least 5 years of relevant experience in Capital Market with 3 years of direct experience in Corporate Advisory activities.- Passed Module 6 & 7, 11, 14 & 16 of Securities Commission Licensing Examination.- Registered Compliance Officer with Securities Commission and Bursa Malaysia- Possess good understanding of the rules and regulations relating to Bursa Malaysia, Securities Commission, FIMM and Bank Negara Malaysia- Resourceful, meticulous, analytical and possess good interpersonal, report writing and problem-solving skills.- Ability to keep pace with changing regulatory environment and its impact on the compliance risks.- Responsibilities:- To have compliance oversight on Corporate Advisory and Research Activities.- Provide credible, reliable and responsive compliance advice on business activities to management.- Provide support for an effective compliance communication program for the organization that promotes (a) heightened awareness of Standards of Conduct, and (b) understanding of new and existing compliance issues and related policies and procedures.- Provide compliance advice on corporate advisory submissions to regulators, among others, Securities Commission, Bursa Malaysia and FIMM.- Maintain an effective Compliance Program that identifies regulatory requirements and measures the magnitude of regulatory and reputational risks.- To establish routines and methods to evaluate and respond to exceptions including recommendations for appropriate corrective procedures.- Submit Monthly Compliance Report to the Board and regulators.- To perform various exposures, trading and market analysis in order to ensure regulatory risks are properly managed.- Immediate reporting shall be done in the event of any material non-compliance issues arising.- Advise and facilitate the development of the Company, especially on any compliance matters.- Liaise with authorities on any compliance matters.- To advise on reporting suspicious money laundering activities to FIED.- Overseeing the functions of the Compliance and Risk Management Department.- In charge of internal development of the Department, including but not limited to:- 1. Peruse through new implementation of rules and regulations from relevant authorities; and- 2. Develop and improve on Compliance Program, Checklists & Manual for the Compliance and Risk Management Department to ensure that they are effective and up to date.
