Compliance Officer - Financial Institution

My client is a leading Financial Institution in Asia, providing financial services to customers globally. They are in search of a Compliance specialist to support and oversee the compliance function within the organisation.

Key Responsibilities:

• Execute the compliance monitoring program, including trade surveillance, staff activity monitoring, and compliance with policies.
• Conduct desk reviews and thematic reviews based on emerging risks or new regulations.
• Assist in the licensing process for new staff and monitor ongoing obligations for existing representatives.
• Respond to internal queries regarding licensing and compliance policies.

Qualification:

• Min 5 years of experience in compliance, audit, or regulatory roles within the financial services sector.
• Understanding of compliance roles, risk-based approaches, and relevant securities regulations.

To apply, please click "APPLY NOW" or email Kesh at keshveeni@ambition.com.my. Data provided is for recruitment purposes only.
Due to the volume of applications received, we regret to inform you that only shortlisted candidates will be notified.

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