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Senior Executive, Compliance - Melaka/ KL Eco City

  • Full Time, onsite
  • MALACCA SECURITIES SDN. BHD.
  • Melaka Compliance & Risk (Banking & Financial Services) Full time Add expected salary to your profile for insights, Malaysia
Salary undisclosed

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Role Responsibilities:

  • Develop, implement and manage an effective compliance framework and program focusing on dealing in derivatives activities.
  • Regularly review company procedures, practices, and documents to identify possible weaknesses or risks.
  • Monitoring compliance level by performing in-depth reviews of dealing in derivatives activities and recommending corrective actions to address non-compliance, exposures and risks recurrence.
  • Assist the Head of Compliance in compiling and submitting reports, responses or statistic on dealing in derivatives activities matters to regulators, Board/Board Committees and Management Committee.
  • Provide regular updates and training on new rules and regulations/new internal policies/market compliance matters.
  • Resolve employee concerns about compliance matters particularly on dealing in derivatives activities.
  • Act as contact person and liaison between the company and the regulators (SC & Bursa/BNM) on all dealing in derivatives compliance related matters;
  • Perform such other duties as shall from time to time be directed by the Head of Compliance.
  • Role Requirements & Qualifications:

  • Bachelor’s Degree or above in law, finance, business, or a related field.
  • 2 - 4 years’ proven experience in a compliance officer role in Dealing in Derivatives activities. Audit /internal control/risk management/regulatory experience will also be considered.
  • Candidates passed Module 11 and relevant modules for regulated activity of dealing in derivatives (i.e. Modules 14 and 16 or 17 and 18 or 14 and 17 or 16 and 18) of Securities Commission Licensing Examinations and have working experience with Investment Banks or Stockbroking firms will be preferred.
  • Good knowledge of rules and requirements and guidelines of Bank Negara Malaysia, the Securities Commission Malaysia and Bursa Malaysia Securities Berhad.
  • Personal Qualities/Attributes:

  • Highly-analytical with strong attention to detail.
  • Able to work independently with minimal guidance.
  • Able to effectively communicate, both orally and in writing, through all levels of the organization.