Head of Legal, Compliance & Risk Management

Head of Legal, Compliance & Risk Management

Designation : Head of Legal, Compliance & Risk Management

A leading global capital market intermediary is seeking an experienced and strategic professional to join its leadership team in its Malaysian securities and derivatives broking arm as Head of Legal, Compliance & Risk Management . The successful candidate will lead the department in driving a strong governance culture, ensuring full regulatory compliance, and managing legal and risk frameworks that support the company’s growth and integrity.

Key Responsibilities

The Head of Legal, Compliance & Risk Management leads the department overseeing the company’s legal, regulatory, compliance, and risk management functions. This role is responsible for setting strategic direction, guiding and developing the team, and ensuring that the company’s operations comply with all applicable laws, regulations, and governance standards.

Lead, develop, and manage the Legal, Compliance, and Risk Management team to ensure high performance, professional growth, and alignment with organizational objectives.

Work closely with the Executive Directors and other department heads to strengthen the company’s governance, compliance, and risk culture.

Regulatory & Compliance Oversight

Oversee compliance with all relevant laws, regulations, and guidelines issued by the Securities Commission Malaysia (SC), Bursa Malaysia, and other authorities.

Ensure timely and accurate regulatory submissions and approvals, including key management applications and periodic reports.

Keep management and the Board informed of significant compliance issues, developments, and regulatory changes.

Legal & Company Secretarial Functions

Provide strategic legal advice and ensure the company’s contracts, policies, and practices are compliant and legally sound.

Oversee company secretarial functions handled by the Legal team, including board resolutions, statutory filings, and compliance with the Companies Act.

Liaise with external legal counsel and ensure effective management of corporate legal and statutory matters.

Policy & Framework Development

Establish, review, and enhance compliance, legal, and risk management policies and procedures in line with evolving regulations and best practices.

Ensure consistent implementation and adherence across all business units.

Oversee the company’s risk management framework to ensure effective identification, assessment, and mitigation of material risks.

Review and provide guidance on risk management reports prepared by the risk team and ensure key risk issues are appropriately escalated to the Board.

Oversee the design and delivery of compliance and AML / CFT training programs to enhance staff awareness of regulatory obligations and ethical standards.

Foster a proactive and collaborative approach to compliance and risk management throughout the organization.

Stay abreast of industry trends, regulatory developments, and governance standards to continuously strengthen the company’s legal, compliance, and risk frameworks.

Requirements

Bachelor’s degree in Law, Finance or a related discipline, or an equivalent professional qualification.

Minimum 8 years’ relevant experience in compliance, legal, or risk management within the capital market, banking, or financial services industry. Those with securities and derivatives broking experience will have added advantage.

Strong understanding of the regulatory frameworks of the Securities Commission Malaysia, Bursa Malaysia , and related legislation (e.g., AMLATFPUAA 2001, Companies Act).

Demonstrated leadership, communication, and stakeholder management skills.

Analytical, detail-oriented, and capable of providing sound strategic and operational guidance.

Completion of relevant SIDC modules will be an advantage.

Your application will include the following 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 Head of Legal?

#J-18808-Ljbffr