Manager (Compliance Advisory)

CGS International Securities Malaysia; Kuala Lumpur; Sur place; MYR 90 000 - 130 000; Plein temps

Résumé du poste

CGS International Securities Malaysia seeks a Senior Compliance Officer to ensure alignment of compliance objectives with the company’s business strategy in Kuala Lumpur. You will lead the development and implementation of the Compliance Work Plan, advise on regulatory changes, and perform gap analyses to uphold governance standards.

The role requires a minimum of 5 years in the financial industry and knowledge of drafting governance policies.

Qualifications

• High integrity and ethical standards in financial services.
• Strong communication and interpersonal skills.
• Critical and analytical thinking for regulatory decisions.
• Problem solving and sound decision-making abilities.
• Ability to interpret and implement regulatory requirements.

Responsabilités

• Support Unit Head to align compliance objectives with business strategy.
• Develop and implement Compliance Work Plan/Program.
• Advise units on new or updated regulatory requirements.
• Conduct gap analyses on new/regulatory guidelines.
• Review policies, procedures, and product papers for compliance.
• Implement compliance policies and procedures effectively.
• Establish and review compliance risk programs and controls.
• Conduct risk assessments and track corrective actions.
• Prepare reports for Board and stakeholders within deadlines.
• Develop and deliver compliance training and awareness materials.
• Oversee control room functions, including staff trades and insider lists.

Connaissances

Integrity

Communication

Analytical thinking

Problem solving

Decision making

Formation

Bachelor’s or Master’s Degree in any relevant field

Description du poste

• Support the Unit Head, Compliance to ensure alignment of compliance objectives with company’s business and strategic objectives.
• Assist to develop Compliance Work Plan/ Program and ensure its effective implementation.
• Advice the impacted business units on the new or updated regulatory requirements.
• Perform gap analysis on newly issued or updated regulatory guidelines as and when required.
• Review policies, procedures and product papers and facilitate compliance with the relevant laws, regulations and guidelines.
• Assist the Unit Head to ensure effective implementation of the compliance related policies and procedures.
• Assist the Unit Head to establish an effective compliance program or review plan to identify, document and assess the compliance risks and corresponding controls associated with the business activities of CGS MY Entities.
• Conduct risk assessment, including business units and branches to identify and assess potential compliance risk. Evaluate adequacy of internal controls, highlighting and tracking of corrective action plan against identified gaps.
• Preparation of the report and paper to Board of Directors, Committees and respective stakeholders within stipulated timeline.
• Assist to develop compliance training, awareness materials and ensure alignment with current regulatory requirements.
• Deliver compliance training for staff and licensed holders.
• Oversee execution of the control room functions, including approval of staff trades, disclosure of covered accounts and maintenance of permanent insiders, wall-crossed individuals and restricted lists.

Educational Qualifications & Years of Relevant Experience:

• Bachelor’s or Master’s Degree in any relevant field of study.
• At least 5 years of experience in relevant financial industry, compliance in established futures broker, securities firm, fund management company or financial institutions.
• Knowledge of drafting governance related policies and procedures.
• Registered Compliance Officer with SC or Bursa is an added advantage.

Personal Attributes:

• High integrity and ethical standards.
• Good communication and interpersonal skills.
• Good critical and analytical thinking.
• Good problem-solving skill and decision-making skill.

*Only shortlisted candidates will be contacted.