Capital Market Compliance

Conduct independent compliance reviews to ensure alignment with relevant regulatory requirements and internal policies, particularly prior to the submission of corporate proposals to regulators.
Support the daily operations of the Control Room, including the maintenance and monitoring of the restricted and blackout lists, managing "crossing the wall" requests, reviewing employee trades, and overseeing conflict-of-interest disclosures.
Assist in developing and executing compliance reviews as outlined in CMS's annual work planAnalyze trading records, communication logs, and other relevant data to detect potential misconduct or regulatory breaches.
Contribute to the development and periodic review of compliance policies and procedures; serve as an independent reviewer for business units under CMS's purview.
Provide advisory support to business units and compliance stakeholders, especially on control room and conflict-of-interest matters.

Bachelor's or Master's degree in Finance, Business, Law, Economics, or a related field.
Minimum 5 years of experience in compliance, audit, or risk management within a financial institution. Candidates with backgrounds in corporate finance, investment banking, or treasury are also encouraged to apply.
Strong understanding of regulatory requirements governing capital and wholesale financial markets, particularly those issued by BNM, Securities Commission Malaysia, and Bursa Malaysia.
Solid working knowledge of Foreign Exchange Policy (FEP) regulations.
Experience or familiarity with financial markets operations (e.g. FX, fixed income, money markets) is a plus.
Good understanding of Control Room functions and the relevant regulatory expectations.

Interested or know anyone who fits this role? Kindly share your CV to keshveeni@ambition.com.my for a confidential chat.