Regulatory & Legal Compliance Officer

Key Responsibilities:

1. Compliance Policies, Standards & Procedures:
Establish and enforce standards to ensure compliance with FSA, CMSA, and
other regulations.
Ensure that compliance programs across the organization are effective and
efficient in identifying, preventing, detecting, and correcting non-compliance with
applicable laws and regulations (primarily FSA and CMSA).

2. Compliance Program, Work Plan & Framework
Regulatory Compliance: Assist in staying up-to-date with all applicable laws,
regulations, and guidelines issued by relevant regulatory authorities.
Oversee the implementation of the compliance program, work plan, and
framework.
Develop policies that encourage safe reporting of fraud and other issues.
3. Review
Coordinate internal compliance review and monitoring activities, including
periodic reviews of departments.
Review process changes for effective compliance and risk mitigation, spearhead
the risk and compliance committee with regular meetings and risk registration.

4. Handle Compliance-related Queries
Handle all inquiries and respond to regulators, particularly Bank Negara Malaysia
(BNM) and Securities Commission Malaysia (SC).
Ensure all regulatory reporting requirements are met and submitted within the
stipulated deadlines.

5. Inspection
Conduct and investigate compliance inspections of departments to gauge the
level of compliance and awareness, enhancing overall compliance.

6. Advisory & Training
Advise and train staff and senior management on compliance and regulatory
matters.
Keep the immediate supervisor updated on regulatory developments.
Provide guidance on regulatory requirements and internal policies.
Lead and manage discussions on compliance risk with business and support
units.
7. Other Task
Perform other ad-hoc tasks and projects related to compliance as assigned from
time to time.