Deskripsi Pekerjaan
Are you looking to elevate your career in financial compliance with a highly reputable securities firm? M&A Securities is seeking a diligent and detail-oriented Assistant Manager / Senior Executive, Compliance to join our dedicated team in Kuala Lumpur. In this critical role, you will play an active and key part in ensuring our business activities align with industry laws, regulations, and internal policies, directly contributing to our culture of high governance and trust.
As part of our compliance team, you will collaborate closely with various business units to mitigate regulatory risks, resolve compliance queries, and foster operational excellence. You will be instrumental in keeping up-to-date with evolving regulatory requirements and translating them into actionable internal policies. This is an exceptional opportunity for a motivated compliance professional looking to take on leadership responsibilities, deepen their regulatory expertise, and grow within a dynamic and fast-paced financial market environment.
At M&A Securities, we value proactive thinkers who can balance rigorous compliance oversight with commercial pragmatism. We offer a collaborative environment where your contributions directly influence our risk management strategy and corporate integrity. If you have a solid foundation in securities regulations, strong analytical capabilities, and are ready to take the next step in your career, we invite you to apply.
Tanggung Jawab
- Monitor, review, and ensure business operations comply with the guidelines of Securities Commission (SC) Malaysia, Bursa Malaysia, and other relevant regulatory bodies.
- Conduct regular compliance audits, reviews, and gap analyses to identify potential regulatory risks and recommend corrective action plans.
- Assist in drafting, updating, and implementing comprehensive internal compliance policies, standard operating procedures, and ethical guidelines.
- Investigate potential compliance breaches, prepare detailed investigation reports, and advise senior management on risk mitigation strategies.
- Liaise with external regulatory authorities and facilitate statutory submissions, licensing renewals, and regulatory reporting requirements.
- Provide reliable compliance advisory and up-to-date regulatory briefings to internal business units and management.
- Coordinate and deliver compliance training programs to enhance staff awareness of regulatory requirements, AML/CFT rules, and corporate governance standards.
Kualifikasi
- Candidate must possess a Bachelor's Degree in Law, Finance, Business Administration, Accounting, or a related discipline from a recognized institution.
- At least 3 to 5 years of working experience in compliance, internal audit, or risk management within the securities industry, investment banking, or financial services sector.
- Strong, practical knowledge of the Capital Markets and Services Act (CMSA) 2007, Securities Commission guidelines, and Bursa Malaysia Listing Requirements.
- Professional certification in compliance (e.g., ICA, ACAMS) or passing relevant SC licensing examinations will be highly advantageous.
- Demonstrated analytical capability, sound judgment, and a highly meticulous approach to problem-solving.
- Excellent verbal and written communication skills in English, with the ability to articulate compliance requirements clearly to diverse stakeholders.
- High level of professional integrity, confidentiality, and an ethical approach to business practices.