Ensuring compliance to internal and regulatory requirements, policies and applicable laws
Managing and performing compliance reviews
Liaise with regulatory bodies on all regulatory matters i.e. Securities Commission, Bursa Malaysia to discuss on the relevant issues concerning compliance matters and
Review of Monthly Compliance Report and working papers
Ensure effectiveness and efficiency of staff deployment for job assignments and reviews
Ensure noncompliance issues are addressed and rectified by relevant departments to meet compliance with the regulatory framework.
Assist and liaising with regulatory authorities on information and documents requested.
Review before submission of monthly reports to the Exchange and Securities Commission
Ensure rules, regulations, circulars and directives of Bursa Malaysia and Securities Commission's laws and guidelines are complied with at all times
Monitor business trading activities and operations on pro-active basis to ensure proper market conduct and adherence to rules and regulations
Review and monitor the transactions activities of clients for any possible suspicious transactions and necessity for STR in accordance with AMLA
Compliance advisory to business unit from regulatory compliance perspective
As liaison officer to assist and co-ordinate with regulatory authorities on regulatory requests and matters
Relevant Diploma from recognized institution with at least 5 years relevant experience in capital market.
