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Compliance Manager (Market Surveillance)

Compliance Manager (Market Surveillance)

Intellipro Singapore Pte. Ltd.Kuala Lumpur, Kuala Lumpur, Malaysia
21 hours ago
Job description

Overview

Candidate must be from the brokerage background , salary range is from RM10,000-RM15,000 depending on the experience and qualifications.

Responsibilities

  • Carry out daily monitoring of clients’ trading activities using surveillance systems to detect, review, and investigate potential market abuse, insider trading, or breaches of market conduct rules.
  • Conduct prompt and thorough analysis of alerts and unusual trading patterns; escalate findings to senior management and regulatory authorities as required.
  • Develop, implement, and periodically review surveillance processes and controls in line with regulatory expectations and best industry practices.
  • Prepare and submit surveillance reports and collaborate with internal / external stakeholders during investigations and audits.

Compliance Program Management

  • Support the development, enhancement, and implementation of the company’s compliance framework, policies, and standard operating procedures.
  • Ensure the company’s practices are aligned with current laws, regulations (e.g., AML / CFT, market conduct, securities laws), and internal policies.
  • Lead or contribute to compliance risk assessments, gap analyses, and the formulation of action plans to address deficiencies.

    • Reporting & Regulatory Engagement

  • Prepare regular and ad hoc compliance and risk reports for management, Board Committees, and relevant regulatory bodies.
  • Support management in maintaining ongoing relationships with regulatory bodies and responding to regulatory inquiries, inspections, and audits.
  • Organize and deliver internal compliance training sessions and workshops, especially related to market conduct and new regulatory updates.
  • Promote a culture of compliance awareness and ethical conduct across all levels of the organization.
  • Supervise and mentor junior compliance staff, including allocating tasks, providing guidance, and supporting their professional development.
  • Monitor the achievement of team objectives and KPIs, fostering high standards of performance, engagement, and integrity.

    • Other Duties

  • Coordinate and participate in cross-functional projects, new product approval processes, and other group initiatives from a compliance perspective.
  • Manage the escalation and resolution of compliance queries, issues, and incidents, recommending process improvements where necessary.
  • Stay abreast of emerging regulatory trends and recommend proactive adjustments to company policies and procedures.
  • Undertake any other ad hoc tasks as assigned by the Chief Risk & Compliance Officer or Head of Compliance.
  • To be registered as a Compliance Officer of the Company and ensure the Company maintains constant compliance with all regulatory requirements, i.e AML / CFT and market surveillance, etc.

    • Qualifications & Competencies

  • Bachelor’s degree in accounting, business, finance related, or law would be preferred.
  • Around 5 to 7 years of experience in compliance, risk management, or regulatory roles within financial services, preferably with market surveillance exposure.
  • Strong knowledge of capital markets, securities regulation, AML / CFT legislation, and market conduct rules.
  • Experience using market surveillance and compliance monitoring systems.
  • Excellent analytical, investigative, and problem-solving skills.
  • Familiar with the Financial Technology arena and comfortable in a fast-paced environment.
  • Capable of working independently and leading a team.

    • Application Questions

  • Which of the following statements best describes your right to work in Malaysia?
  • What’s your expected monthly basic salary?
  • Which of the following types of qualifications do you have?
  • How many years' experience do you have as a compliance manager?
  • How many years of auditing experience do you have?
  • How many years of experience do you have as a Compliance Staff?

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    Compliance Manager • Kuala Lumpur, Kuala Lumpur, Malaysia