senior compliance officer.

Compliance Monitoring and Surveillance

• Oversee and implement the ongoing compliance monitoring framework, which encompasses:
  • Conducting trade surveillance by reviewing trade data and utilizing the SMARTS Broker trade surveillance system;
  • Monitoring employee trading activity and ensuring adherence to the staff dealing policy;
  • Overseeing staff involvement in external directorships, business interests, and activities;
  • Tracking staff gifts and entertainment activities;
  • Monitoring the fly-in-fly-out activities of licensed personnel;
• Carry out desk-based compliance reviews and thematic reviews as required, focusing on emerging risks or updates to regulatory obligations.

Licensing and Registration

• Support the licensing and registration processes for new front office personnel.
• Monitor and follow up with existing representatives on their ongoing compliance obligations, including updates on personal details, business interests, participation in continuing education programs, and securities registers.
• Coordinate with internal stakeholders to complete and submit regulatory surveys, forms, and questionnaires as required by authorities.
• Aid in the preparation of periodic regulatory reports for submission to regulators.
• Ensure proper tracking and maintenance of compliance-related records, correspondence, and registers.
• Assist in delivering compliance induction training for new employees and other basic training programs.
• Remind staff to complete mandatory compliance training and declarations.
• Assist in preparing compliance reports for local and group-level management.

Compliance Advisory

• Provide support to the Senior Compliance Manager, Malaysia, by handling routine internal queries, such as those related to licensing requirements or group compliance policies and procedures (e.g., staff dealing, outside business interests, gift and entertainment).
• Track regulatory changes, assist with internal and external audits, review and update local compliance policies, and handle ad-hoc compliance-related tasks as needed.

Key Competencies/Skills

• Strong analytical abilities with a knack for quick logical reasoning.
• Excellent interpersonal skills for effective communication.
• Proficient in writing and presenting information clearly.
• High attention to detail.
• Ability to work independently and manage multiple tasks simultaneously.
• Skilled in Microsoft Office applications for data analysis and interpretation, ensuring clear and concise presentation of results.
• Sound understanding of the compliance function and a risk-based approach to compliance, with the ability to identify and address key risks.
• Solid grasp of regulations related to Bursa Malaysia Securities, Bursa Malaysia Securities Clearing, Bursa Malaysia Depository, listing requirements, the Capital Markets and Services Act, Securities Commission regulations, and other relevant rules and regulations in the securities industry.

about the manager/team
This role reports to senior compliance manager.

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