Deskripsi Pekerjaan
Join our dynamic team at Hong Leong Investment Bank as an Executive in Compliance (Stockbroking). In this critical role, you will ensure our operations adhere to Securities Commission (SC) guidelines and Bursa Malaysia requirements, safeguarding our clients' interests and maintaining regulatory compliance.
We are seeking a detail-oriented professional with a passion for regulatory excellence to strengthen our compliance framework. You will play a pivotal role in reviewing trading activities, preparing compliance reports, and enhancing our stockbroking compliance program. This position offers an excellent opportunity to develop your expertise in financial compliance while contributing to a reputable banking institution.
As a key member of our compliance team, you will collaborate with various departments to implement effective compliance controls, conduct regular monitoring, and provide guidance on regulatory matters. Your work will directly contribute to maintaining the integrity of our operations and building trust with our stakeholders.
If you have a strong understanding of financial regulations and a commitment to ethical business practices, we invite you to apply for this challenging and rewarding position in our Kuala Lumpur office.
Tanggung Jawab
- Review stockbroking activities to ensure compliance with Securities Commission (SC) guidelines and Bursa Malaysia requirements
- Conduct regular compliance monitoring and prepare detailed compliance reports for management
- Develop and implement effective compliance policies and procedures for stockbroking operations
- Provide guidance and training to staff on regulatory requirements and compliance matters
- Coordinate with internal departments and external regulators to address compliance issues
- Assist in internal audits and regulatory examinations related to stockbroking activities
- Stay updated with regulatory changes and recommend updates to compliance programs
- Investigate potential compliance breaches and recommend corrective actions
Kualifikasi
- Bachelor's degree in Finance, Law, Business Administration, or related field
- At least 2-3 years of experience in compliance, preferably in stockbroking or financial services
- Strong understanding of Securities Commission (SC) guidelines and Bursa Malaysia requirements
- Excellent analytical and problem-solving skills with attention to detail
- Effective communication skills, both written and verbal
- Ability to work independently and as part of a team in a fast-paced environment
- Professional certification in compliance (e.g., CAMS) is advantageous
- Proficiency in Microsoft Office applications and compliance management systems