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Senior Specialist, Compliance Surveillance MAR (2200013028)

Job description

Job Description

  • Leading bank and financial services in Malaysia
  • Attractive remuneration
  • Excellent career progression


Main Responsibilities

  • Perform the initial review and/or resolve Compliance Surveillance alerts/cases to detect and escalate potential incidences of potential improper employee conduct indicative of risk sub types covered by Compliance Surveillance, where applicable including market misconduct, sales practices and product suitability or disclosure of Material Non-Public Information (MNPI), as well as other irregular behaviour that may lead to regulatory / compliance issues.
  • Escalate potential issues according to Compliance Surveillance AAA model.
  • Perform ad hoc investigations or deep dive into cases where warranted or requested by management.
  • Proactively support and challenge the Group's businesses and functions to exhibit appropriate conduct, comply with regulatory and Compliance requirements and strive to achieve fair outcome for the Group's clients.
  • Responsible for identifying, assessing and / or escalating potential incidences of potential improper employee conduct indicative of risk sub types covered by Compliance Surveillance, including market misconduct, sales practices and product suitability or disclosure of Material Non-Public Information (MNPI), as well as other irregular behaviour that may lead to regulatory / compliance issues.
  • Support effective and timely communication along with collaboration cutting through functions and business.

Key Requirements

  • Bachelor's degree and 4-8 years of work experience in the financial industry, preferably Surveillance / Compliance / Regulatory / Sales, Trading & Customer Relationship
  • Banking knowledge in terms of customers, products, transactions and operations
  • Data & analysis skills: able to manage data exceptions and analyse trends and out of pattern activities; able to independently assimilate, analyse, and evaluate information from disperse data sources to determine a course of action (e.g. case closure or escalation), record and communicate this decision clearly and concisely
  • Familiarity with concepts and relevant regulations on Market Abuse, Suitability and Appropriateness

To apply, please click "APPLY NOW" or email Reeve at reeve.ng@ambition.com.my quoting reference number #258834. 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)

If this job isn't quite right for you, but you know someone who would be great at this role, why not take advantage of our referral scheme? We offer MYR500 in shopping vouchers for every referred candidate who we place in a role. Terms & Conditions Apply.

If this job isn't quite right for you, but you know someone who would be great at this role, why not take advantage of our referral scheme? We offer MYR500 in shopping vouchers for every referred candidate who we place in a role. Terms & Conditions Apply. https://www.ambition.com.my/refer-a-friend