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Compliance Specialist - Structured Warrants

Job description

The client that I am working with is a prominent financial institution operating within the Malaysian market. Known for its expertise in investment banking, brokerage services, and research analysis, the firm holds a significant presence in the region's financial landscape. You will be working closely with the head of department to provide compliance advisory to the business and organization.

Key Responsibilities :

  • Conduct compliance monitoring and surveillance activities, including trade surveillance and staff dealing policy enforcement.
  • Monitor staff activities such as outside directorships, business interests, and gift and entertainment.
  • Assist in licensing and registration processes for new front office staff.
  • Follow up with existing representatives on their continuing obligations and changes in personal particulars.
  • Collaborate with internal stakeholders to complete regulatory surveys and forms.
  • Prepare periodic regulatory reports for submission to regulators.
  • Ensure all compliance correspondences and records are tracked and maintained.
  • Conduct compliance induction trainings for new staff and basic training reminders.
  • Assist in responding to internal queries on licensing requirements and compliance policies.

Qualifications:

  • Preferably have at least 2-3 years of compliance, audit, or regulatory experience in the financial services sector.
  • Knowledge on structured warrants is a MUST.
  • Reasonable understanding of Compliance role and risk-based Compliance approach, and ability to identify and remediate key Compliance risks.
  • Sound knowledge on rules of Bursa Malaysia Securities, Bursa Malaysia Securities Clearing, Bursa Malaysia Depository, listing requirements, Capital Markets and Services Act, Securities Commission regulations.
  • Possess strong analytical, interpersonal, and presentation skills.
  • Demonstrate attention to detail and ability to multitask.
  • Proficient in Microsoft Office tools for data collection and interpretation.

How to Apply?

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.

JTK Number: JTKSM 995 | Company Registration Number: 201301019088 (1048918-T)

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