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Compliance Manager (Market Surveillance)
Intellipro Singapore Pte. Ltd.Kuala Lumpur, Kuala Lumpur, Malaysia16 jam yang lalu
Penerangan pekerjaanSupport 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. 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. 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. 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. 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?
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
Reporting & Regulatory Engagement
Other Duties
Qualifications & Competencies
Application Questions
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Compliance Manager • Kuala Lumpur, Kuala Lumpur, Malaysia
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