ASSISTANT MANAGER/SENIOR EXECUTIVE, COMPLIANCE (KL Principal Office)

M & A SECURITIES SDN BHD; Kuala Lumpur; Sur place; MYR 90 000 - 150 000; Plein temps

Résumé du poste

M & A Securities Sdn Bhd in Kuala Lumpur invites applications for an Assistant Manager / Senior Executive, Compliance. The role ensures regulatory compliance and supports development of compliance frameworks and policies.

The candidate should hold a degree or recognized professional qualification and have 3–5 years in compliance, risk management or related fields, preferably in capital markets or financial services.

Qualifications

• Degree or professional qualification recognised by Malaysia government.
• 3–5 years of experience in compliance, audit, risk management or operations.
• Experience in capital markets or financial services is preferred.
• Strong AML/CFT, anti-bribery, governance knowledge.
• Good communication and ability to work independently.

Responsabilités

• Ensure the Company's compliance with applicable regulatory requirements, internal policies and procedures.
• Support development, review and enhancement of compliance frameworks, policies and procedures.
• Perform trade surveillance and investigate suspicious or unusual trading activities.
• Review suspicious transactions and assist in STR reporting where required.
• Assist in handling regulatory inquiries, inspections and thematic reviews.
• Conduct compliance reviews, branch visits and internal assessments to identify risks and improvements.
• Prepare compliance reports and regulatory submissions for management and authorities.
• Provide compliance advisory support on AML/CFT, anti-bribery and governance matters.

Connaissances

Analytical skills

Organisational skills

Problem-solving

Attention to detail

Communication skills

Formation

Degree or professional qualification recognised by government of Malaysia

Description du poste

Assistant Manager / Senior Executive, Compliance role based at the Kuala Lumpur Principal Office. The role involves ensuring the Company's compliance with applicable regulatory requirements, internal policies, and procedures, and supporting the development, review and enhancement of compliance frameworks, policies, and procedures.

Key responsibilities

Ensure the Company's compliance with applicable regulatory requirement, internal policies, and procedures.

Support the development, review and enhancement of compliance frameworks, policies, and procedures.

Perform trade surveillance and investigate suspicious or unusual trading activities.

Review suspicious transactions and assist in STR reporting where required.

Assist in handling regulatory inquiries, inspections, and thematic reviews.

Conduct compliance reviews, branch visits and internal assessments to identify potential risks and areas for improvement.

Prepare compliance reports and regulatory submissions for management and the relevant authorities.

Provide compliance advisory support on corporate governance, anti-money laundering and counter-financing of terrorism (AML/CFT), anti-bribery and corruption, and related regulatory matters.

About you

Possess a degree or professional qualification recognised by the Government of Malaysia.

Minimum 3–5 years of working experience in compliance, audit, risk management, or operations, preferably within the capital market or financial services industry.

Sound understanding of AML/CFT, anti-bribery and corruption, corporate liability, and corporate governance requirements.

Strong analytical, organisational, and problem-solving skills, with attention to detail.

Able to work independently with minimal supervision and manage competing priorities effectively.

Good communication and interpersonal skills, with the ability to work collaboratively as part of a team.

Willing to travel occasionally to the Company's branch offices for compliance reviews, inspections, and related assignments.

M & A Securities Sdn Bhd is a Participating Organisation of Bursa Malaysia Sec Bhd. HQ located in Mid Valley KL & branches in KL, Ipoh, Penang, JB and Malacca.

Established since 1963, M & A is an established stockbroking & corporate finance advisory company providing securities dealing & corporate finance-related services. With a strong commitment to excellence, integrity, and professionalism, we continuously strive to build long-term client relationships, developing talents within the capital market industry.

At M & A, we believe in developing talents, rewarding performance & building long-term careers. If you are enthusiastic and eager to grow, we invite you to be part of our dynamic team