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    Compliance Specialist - Malaysia, Kuala Lumpur - Randstad Malaysia

    Randstad Malaysia
    Randstad Malaysia Malaysia, Kuala Lumpur

    4 days ago

    Randstad Malaysia background
    Full time
    Description
    About The Company

    Randstad is partnering up with a leading global capital market and investment company. They are looking for compliance specialist to join their expanding team.

    About The Job

    PRIMARY RESPONSIBILITIES:

    This role will support the Senior Manager of Regulatory Compliance in overseeing regulatory compliance for the organization.

    Regulatory Oversight

    • Conducting ongoing monitoring and surveillance activities to ensure compliance with regulatory requirements.
    • Utilizing advanced trade surveillance tools and data analysis techniques for monitoring trade activities.
    • Supervising staff activities to ensure adherence to internal policies, including staff dealing and conflicts of interest.
    • Oversight of staff external engagements and fly-in-fly-out activities.
    • Performing compliance desk reviews and thematic reviews as necessary to address emerging risks.

    Licensing And Registration

    • Assisting in the licensing and registration process for new staff.
    • Monitoring existing representatives' compliance with continuing obligations.
    • Coordinating with internal stakeholders to fulfill regulatory surveys and requests.
    • Supporting the preparation of regulatory reports.

    Compliance Training And Communication

    • Conducting compliance induction training for new hires.
    • Reminding staff to complete mandatory compliance training.
    • Assisting with compliance reporting to local and group management.

    Regulatory Advisory

    • Providing support to internal queries on licensing requirements and compliance policies.
    • Monitoring regulatory changes and assisting with audits.
    • Reviewing and updating local compliance policies as needed.

    Required Skills

    • Strong analytical and logical reasoning abilities.
    • Effective interpersonal and communication skills.
    • Proficient in Microsoft Office Applications for data collection and analysis.
    • Familiarity with compliance principles and risk-based approaches.
    • Understanding of relevant securities regulations and market rules.

    Qualifications

    • Minimum 3 years of experience in compliance, audit, or regulatory roles within the financial services sector.

    About The Manager/team

    This role report to the senior compliance manager.
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