Assistant Manager/Manager, Compliance Intervention Unit

Securities Commission Malaysia; Kuala Lumpur; On-site; MYR 90,000 - 130,000; Full time

Job summary

Securities Commission Malaysia is seeking a detail-oriented professional to collect and analyse information, review cases, and identify breaches of securities laws to support intervention actions against RMOs, intermediaries, and their representatives.

The role involves assisting with documentation for committee submissions, performing thorough fact-based assessments, and collaborating with internal and external stakeholders to ensure efficient information gathering and robust legal advice.

Qualifications

• Degree in any relevant discipline.
• 3-5 years of working experience in capital market / financial industry.
• Understanding of the SC’s business, industry and capital market.
• Understanding of the regulatory and legal requirements of the capital market.
• Technical knowledge of capital market activities and business model such as fund management, dealing/brokering/intermediating, advisory, capital market product origination etc.

Responsibilities

• Assist supervisor in making arrangements and preparing documentation for submission to the relevant committee Secretariat for tabling of papers to Central Enforcement Committee (CEC) and/or Sanctions Committee (SancCom) as well as any matter relating to review of SC’s decision.
• Conducting thorough reviews and assessment of the adequacy of facts obtained, findings, information gathered and provide recommendation that are necessary, taking into consideration the complexity of the case.
• Engage and collaborate with relevant internal and external stakeholders to ensure an efficient facts gathering process (e.g. line depts, intermediaries, representatives, etc.)
• Participate and contribute to the various enforcement working group e.g. Fraud Working Group (FWG), Coordinated Enforcement Working Group (CEWG), and FIMM Referral Working Group (FRWG).
• Provide support in offering technical & legal advice on the requirements and facts that are required to substantiate violations of securities laws.
• Playing a role in fostering a culture of excellence, collaboration, and positive enthusiasm within the team.

Skills

Analytical thinking

Stakeholder collaboration

Legal advisory

Education

Degree in any relevant discipline

Job description

The ideal candidate will be responsible for collecting and analysing information, conducting reviews, and identifying breaches of securities laws and regulations to support intervention actions against Registered Market Operators (RMOs), intermediaries, and their representatives.

Responsibilities

• Assist supervisor in making arrangements and preparing documentation for submission to the relevant committee Secretariat for tabling of papers to Central Enforcement Committee (CEC) and/or Sanctions Committee (SancCom) as well as any matter relating to review of SC’s decision.
• Conducting thorough reviews and assessment of the adequacy of facts obtained, findings, information gathered and provide recommendation that are necessary, taking into consideration the complexity of the case.
• Engage and collaborate with relevant internal and external stakeholders to ensure an efficient facts gathering process (e.g. line depts, intermediaries, representatives, etc.)
• Participate and contribute to the various enforcement working group e.g. Fraud Working Group (FWG), Coordinated Enforcement Working Group (CEWG), and FIMM Referral Working Group (FRWG).
• Provide support in offering technical & legal advice on the requirements and facts that are required to substantiate violations of securities laws.
• Playing a role in fostering a culture of excellence, collaboration, and positive enthusiasm within the team.

Qualifications

• Degree in any relevant discipline
• 3-5 years of working experience in capital market / financial industry
• Understanding of the SC’s business, industry and capital market
• Understanding of the regulatory and legal requirements of the capital market
• Technical knowledge of capital market activities and business model such as fund management, dealing / brokering / intermediating, advisory, capital market product origination etc.