Compliance specialist - Kuala Lumpur, Malaysia - Ambition

    Ambition
    Ambition Kuala Lumpur, Malaysia

    1 week ago

    ambition background
    Full time
    Description
    Job description The client that I am working with is a prominent financial institution operating within the Malaysian market.

    Known for its expertise in investment banking, brokerage services, and research analysis, the firm holds a significant presence in the region's financial landscape.

    You will be working closely with the head of department to provide compliance advisory to the business and organization.


    Key Responsibilities :
    Conduct compliance monitoring and surveillance activities, including trade surveillance and staff dealing policy enforcement. Monitor staff activities such as outside directorships, business interests, and gift and entertainment. Assist in licensing and registration processes for new front office staff. Follow up with existing representatives on their continuing obligations and changes in personal particulars. Collaborate with internal stakeholders to complete regulatory surveys and forms. Prepare periodic regulatory reports for submission to regulators. Ensure all compliance correspondences and records are tracked and maintained. Conduct compliance induction trainings for new staff and basic training reminders. Assist in responding to internal queries on licensing requirements and compliance policies.


    Qualifications:
    Preferably have at least 2-3 years of compliance, audit, or regulatory experience in the financial services sector. Knowledge on structured warrants is a MUST. Reasonable understanding of Compliance role and risk-based Compliance approach, and ability to identify and remediate key Compliance risks.

    Sound knowledge on rules of Bursa Malaysia Securities, Bursa Malaysia Securities Clearing, Bursa Malaysia Depository, listing requirements, Capital Markets and Services Act, Securities Commission regulations.

    Possess strong analytical, interpersonal, and presentation skills. Demonstrate attention to detail and ability to multitask. Proficient in Microsoft Office tools for data collection and interpretation.