Investigation & Enforcement (Litigation)

Bursa Malaysia Berhad; Kuala Lumpur; On-site; MYR 120,000 - 180,000; Full time

Job summary

Bursa Malaysia Berhad is seeking a seasoned professional to lead investigations and regulatory enforcement within the capital market framework. The successful candidate will have substantial experience in law, compliance, and specific knowledge of Malaysian financial regulations, ensuring the effectiveness and fairness of enforcement actions.

Qualifications

• Minimum 6 years of experience in regulatory enforcement or related fields.
• Sound knowledge of Malaysian Capital Market and relevant laws.

Responsibilities

• Conduct investigations into breaches of regulatory rules.
• Manage legal notices and court processes.
• Draft policies for regulatory enforcement.

Skills

Analytical skills

Drafting skills

Interviewing skills

Investigative techniques

Education

Degree in Law

Job description

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Undertake investigation and enforcement of breaches of the Listing Requirements of Bursa Malaysia Securities Berhad (“Bursa Securities”) for the Main Market, ACE Market and LEAP Market or such other market as may be operated and regulated by Bursa Securities and Rules of Labuan International Financial Exchange Inc. (collectively referred to as “the Rules”) committed by the listed issuers/corporations, directors, advisers, sponsors and other persons to whom the Rules are directed (collectively referred to as “the Persons”), suspension and de-listing actions under the Rules and any other enforcement-related matters as identified by Head, IED, towards achieving/which are facilitative of Bursa Malaysia Berhad’s (“Bursa”) regulatory objectives and policies.

Job Description

1. Undertake:-

(a) investigation and enforcement of breaches of the Rules; and

(b) the suspension and de-listing actions under the Rules,

in accordance with the strategy, policy and procedures of Issuers-IE to ensure:-

- proper discharge of Bursa’s regulatory duties under the law/rules; and

- the investigation and enforcement process/actions are efficient, effective, expeditious and deterrent.

2. Manage, plan, monitor and undertake the investigation process including to procure, review, evaluate and analyse the facts, documents and evidence to ensure they are accurate, adequate, comprehensive, proper and all issues are addressed/resolved to substantiate/establish the breach(es) of the Rules and enable/facilitate successful enforcement of the breach(es).

3. Manage, plan, monitor and undertake: -

(a) enforcement proceedings/actions against the Persons; and

(b) suspension and de-listing actions under the Rules, including: -

- preparation/drafting and issuance of notices, documents and responses to the Persons which are timely, accurate, adequate and comprehensive with all issues addressed/resolved and able to withstand legal challenges; and

- presentation of the enforcement/de-listing documents and advising/providing views and recommendations to the relevant Regulatory Committees for decision and actions.

4. Assist to draft, formulate and/or develop policies and procedures relating to investigation and enforcement of the Rules and suspension and de-listing actions to address gaps and ensure that Bursa’s enforcement, suspension and de-listing actions are fair, transparent, consistent, effective, efficient and justifiable in all legal respects for the review of the Head, IED and approval of the relevant approving authority, namely the Chief Regulatory Officer or the relevant Regulatory Committees.

5. Attend to and/or monitor/manage legal notices and court processes/actions pertaining to:-

(a) challenges to Bursa’s enforcement/suspension/de-listing decisions;

(b) implementation of Bursa’s enforcement decisions e.g. debt recovery actions; and

(c) such other legal proceedings/actions by or against Bursa as may be determined by the Head, IED or Chief Regulatory Officer,

including reviewing cause papers to ensure they are accurate and comprehensive and liaising with external legal counsel.

6. Liaison with the Securities Commission or other regulatory authorities and stakeholders on issues pertaining to or affecting investigation and enforcement under the Rules including to identify, collate, draft, prepare, review and submit the required information/response/document/report(s) to build relationship of trust and confidence with relevant stakeholders.

7. Collate, maintain, review and ensure the accuracy and comprehensiveness of the necessary database/statistics in respect of all cases, enforcement actions, de-listing matters and legal/debt recovery action undertaken.

8. Undertake any tasks/assignments as directed by the supervisor and/or Head in regard to the regulatory activities of Bursa/assisting in the discharge of the regulatory functions of Bursa from time to time for example –

(a) undertake research and monitor regulatory enforcement trends, standards and actions in benchmarked jurisdictions;

(b) undertake or participate in the developmental works, special projects and contribute to the implementation of strategic objectives; and

(c) identify, review and provide input/advice/comment to the proposed changes to the Rules or securities laws, particularly those which affect investigation and enforcement.

Job Requirements

Degree or professional qualification in the field of law

Minimum 6 years of experience in investigation, auditing,forensic accounting, market analysis or corporate/securities matters and/or handling regulatory/ enforcement work in the capital market industry or other financial services industry or regulatory environment.

Sound knowledge of Malaysian Capital Market, the Rules, Companies Act, Capital Markets & Services Act and other relevant laws and regulation.

Knowledge of trading in securities and derivatives and financial instruments.

Ability to analyse and interpret financial statements.

Good drafting, interpretative and analytical skills.

Investigative techniques and methods and interviewing skills (is an added advantage).

Unlock job insights

Salary match Number of applicants Skills match

Your application will include the following questions:

What's your expected monthly basic salary? Are you willing to undergo a pre-employment background check? How many years' experience do you have as a Litigation Role?

We are a holding company which operates and regulates a fully integrated exchange offering the complete range of exchange related facilities. These facilities include trading, clearing, settlements and depository services covering equities, derivatives, offshore listings, bonds and Islamic. There are over 900 companies listed either on the Bursa Malaysia Securities Berhad Main Market or the ACE Market.

Today, we are one of the region’s largest stock exchanges and a leader of Islamic Capital Market products and services, as well as home to the world’s most successful crude palm oil futures contract. World class infrastructure makes us easily accessible and we serve investors from over 60 nations.

To be a Warga Bursa is to be a citizen of the world, not only do we give you a front row seat to Malaysia’s capital markets, we also give you access to a dynamic and international business environment. As the only Exchange in Malaysia, we look for people with a global outlook and the ability to think beyond boundaries.

We are a holding company which operates and regulates a fully integrated exchange offering the complete range of exchange related facilities. These facilities include trading, clearing, settlements and depository services covering equities, derivatives, offshore listings, bonds and Islamic. There are over 900 companies listed either on the Bursa Malaysia Securities Berhad Main Market or the ACE Market.

Today, we are one of the region’s largest stock exchanges and a leader of Islamic Capital Market products and services, as well as home to the world’s most successful crude palm oil futures contract. World class infrastructure makes us easily accessible and we serve investors from over 60 nations.

To be a Warga Bursa is to be a citizen of the world, not only do we give you a front row seat to Malaysia’s capital markets, we also give you access to a dynamic and international business environment. As the only Exchange in Malaysia, we look for people with a global outlook and the ability to think beyond boundaries.

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