Senior Manager, Compliance
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Job Purpose
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.
Qualifications
- 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.
