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    Compliance Officer - Kuala Lumpur, Malaysia - Randstad Malaysia

    Randstad Malaysia
    Randstad Malaysia Kuala Lumpur, Malaysia

    5 days ago

    Randstad Malaysia background
    Full time
    Description
    Key Responsibility Areas (KRAs):

    The Compliance Officer will primarily assist the Senior Compliance Manager, Malaysia in executing compliance functions for this company including but not limited to:
    Compliance Monitoring and Surveillance:

  • Maintain and execute an ongoing compliance monitoring program, including:
  • Conducting trade surveillance by analyzing trade data using SMARTS Broker trade surveillance tool.
  • Monitoring staff dealing activity and adherence to staff dealing policy.
  • Overseeing staff outside directorships, business interests, and activities.
  • Tracking staff gifts and entertainment.
  • Monitoring the fly-in-fly-out activities of licensed staff.
  • Conduct compliance desk reviews and thematic reviews based on emerging risks or new regulatory requirements.
    Licensing and Registration:
  • Assist in the licensing and registration process for new front office staff.
  • Monitor and follow up with existing representatives on their continuing obligations, including changes in personal particulars and business interests, continuing education programs, and the register of securities.
  • Coordinate with internal stakeholders to complete surveys, forms, and questionnaires requested by regulators.
  • Assist in preparing periodic regulatory reporting for regulators.
  • Ensure compliance correspondences, records, and registers are duly tracked and maintained.
  • Conduct compliance induction trainings for new staff and other basic training sessions.
  • Remind staff to complete their mandatory compliance trainings and declarations.
  • Assist with compliance reporting to local and group management.
    Compliance Advisory:
  • Assist the Senior Compliance Manager in responding to internal queries, such as licensing requirements or group compliance policies and procedures (e.g., staff dealing, outside business interests, gifts and entertainment).
  • Track regulatory changes and support external/internal audits.
  • Review and revise local compliance policies as needed.
  • Complete ad hoc tasks as required.Key Competencies/Skills:
  • Excellent analytical skills and quick logical thinking ability.
  • Strong interpersonal skills.
  • Strong writing and presentation skills.
  • Attention to detail.
  • Ability to operate independently and multitask.
  • Proficiency in Microsoft Office applications for data collection and interpretation of results that can be presented clearly and concisely.
  • Reasonable understanding of the Compliance role and risk-based Compliance approach, with the ability to identify and remediate key Compliance risks.
  • Reasonable understanding and application of the rules of Bursa Malaysia Securities, Bursa Malaysia Securities Clearing, Bursa Malaysia Depository, listing requirements, Capital Markets and Services Act, Securities Commission regulations, and other relevant securities regulations/rules.Requirements:
  • At least 3 years of experience in Compliance, audit, or regulatory work within the financial services sector is preferred. If you are keen on this role, do apply via this link
    skills no additional skills required
    qualifications no additional qualifications required
    education Bachelor Degree

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