Senior Executive, Compliance

Position Objective: To ensure compliance with guidelines, laws, rules, acts and best practices imposed by the Securities Commission (SC), Federation of Investment Managers Malaysia (FIMM) and other regulators and/or arising from internal policies and procedures.

Job Responsibilities:

1.Pre-Trade Rule Setup and Testing:

• Develop and implement pre-trade compliance rules within Bloomberg CMGR.
• Regularly review and test the effectiveness of these rules to ensure they meet regulatory requirements and company policies.

2.Compliance Monitoring and Reporting:

• Administer and conduct routine compliance monitoring and periodic checks on the company’s operations.
• Ensure compliance with applicable rules, guidelines, and acts.
• Prepare detailed reports on compliance status and findings.
• Identify areas for improvement and recommend corrective actions.

3.Examinations and Investigations:

• Assist in conducting examinations and investigations of any irregularities, breaches, or non-compliances.
• Document findings and support the implementation of corrective measures.

4.Compliance Support for Business Strategies:

• Provide compliance support for new business strategies and initiatives.
• Ensure that all new business efforts align with regulatory requirements and internal policies.

5.Promoting a Culture of Compliance:

• Assist in promoting a culture of compliance within the company.
• Conduct training sessions and provide guidance to employees on compliance matters.

6.Additional Compliance Initiatives:

• Undertake other relevant compliance initiatives and projects as directed by the Head of Compliance.
• Stay updated on regulatory changes and ensure the company’s compliance framework is up-to-date.

Job Requirements:

• Degree in Finance, Economics, Business, Law, Accounting, Actuarial Science, or other relevant fields.
• Five (5) to eight (8) years Compliance/audit/regulatory experience in the capital market and proficient in Bloomberg CMGR function.
• Reasonable understanding of Compliance role and risk-based Compliance approach, and ability to identify and remediate key Compliance risks.
• Familiar with requirements and guidelines issued by Securities Commission.
• To sit for relevant regulatory examinations for the role eg: SC modules 11, 14 and 16.
• Possess strong analytical skills and able to work under minimum supervision.
• Ability to multi-task, prioritize, and manage time effectively.

At AHAM Capital, people are its greatest assets. We value diversity and inclusivity. To us, this means bringing together a group of qualified professionals with a varied range of skillset and experiences into a fair and respectful workplace to harness the strengths of cultural and individual differences for the accomplishment of our collective goal.

We believe in equal opportunity in employment and treating all individuals with respect and dignity. Our employment decisions are guided by an objective assessment of the candidate, irrespective of ethnicity, religion, gender, nationality and other non-merit factors.

Due to the high volume of applications we are unable to acknowledge every application. If you are selected for an interview we will contact you within the next 7 days. However, if we think that your skills and qualifications may be suitable for other similar positions we may hold your details on our database and contact you in the future.