Senior Compliance Generalist

Jobtailor; Kuala Lumpur; On-site; MYR 60,000 - 90,000; Full time

Job summary

Jobtailor is seeking a senior compliance professional to cover multiple entities across group operations in a regulated financial services context. The role involves hands-on complaints handling, monitoring regulatory obligations, and supporting submissions and change projects.

The successful candidate will have 3–5 years in compliance within online broker/CFD/investment settings, strong English writing skills, and the ability to interact with senior stakeholders across jurisdictions.

Qualifications

• Typical 3 to 5 years in a compliance role within a regulated financial services firm.
• Hands-on complaints handling experience, including investigation and drafting final responses.
• Experience with compliance monitoring or testing and writing actionable findings.
• Strong written English and ability to explain regulatory requirements to non-specialists.
• Discretion, resilience and comfort dealing with senior stakeholders.

Responsibilities

• Provide planned and ad hoc cover for Compliance Officers across the group during leave or illness.
• Maintain knowledge of regulatory obligations for each entity and access up-to-date handover notes and procedures.
• Act as day-to-day compliance contact for marketing, onboarding, client communications, product and conduct matters.
• Review and sign off routine items within delegated authority; escalate beyond authority.
• Support regulatory submissions and maintain the regulatory reporting calendar.
• Own the group complaints process from acknowledgement through investigation to closure.
• Maintain complaints registers and prepare management information for the Compliance Committee.

Skills

Compliance Management

Regulatory Framework Knowledge

Complaints Handling

Compliance Monitoring

Financial Crime Experience

Education

ICA Diploma in Governance, Risk and Compliance

CISI Investment Operations Certificate

Job description

• Provide planned and ad hoc cover for entity Compliance Officers across the group during leave, sickness, and other absences
• Maintain working knowledge of regulatory obligations for each entity, supported by current handover notes and desk procedures
• Act as day-to-day compliance contact for marketing, onboarding, client communications, product, and conduct matters during cover periods
• Review and sign off routine items within delegated authority, escalating matters outside that authority to the Central Compliance Manager
• Support regulatory submissions and returns and maintain the regulatory reporting calendar
• Produce handovers covering decisions, outstanding items, and identified issues
• Own the group complaints process from acknowledgement through investigation, root cause analysis, final response, and closure
• Ensure complaints comply with applicable jurisdictional rules and manage referrals to external dispute resolution bodies
• Maintain complaints registers and records and prepare complaints management information for the Compliance Committee and entity boards
• Monitor regulatory developments, consultations, guidance, policy statements, and enforcement themes across group jurisdictions
• Maintain the regulatory change log, assess impacts, assign owners and deadlines, and present plain-English updates
• Support regulatory change projects and maintain the group policy suite, annual review cycle, and version control
• Assist with risk-based Compliance Monitoring Programmes for each entity, conduct monitoring reviews and thematic testing, and document results
• Write monitoring findings, agree remedial actions, track actions to closure, and report progress and emerging risks
• Support audits, regulatory visits, information requests, and third-party due diligence questionnaires
• Provide second-line advice and challenge on conduct, treating customers fairly, consumer duty-style obligations, and financial promotions
• Support financial crime activities including AML, CTF, sanctions, PEP screening, Market Abuse Surveillance, transaction monitoring, and MLRO escalation
• Assist with breach and incident logging, investigation, and regulatory notification
• Deliver or support compliance training and awareness
• Contribute compliance input on new products, markets, jurisdictions, and licence applications

Requirements

• Typically 3 to 5 years in a compliance role within a regulated financial services firm, ideally an online broker, CFD or investment firm or payments business
• Demonstrable experience beyond an analyst remit, including owning processes, making judgement calls, and dealing directly with the business
• Practical working knowledge of at least one major regulatory framework, with the FCA Handbook preferred, and ability to learn others quickly
• Hands-on complaints handling experience, including investigation, drafting final responses, and root cause analysis
• Experience of compliance monitoring or testing, and writing findings that lead to action
• Strong written English and ability to explain regulatory requirements to a non-specialist audience
• Well organised and comfortable juggling competing deadlines across multiple entities and time zones
• Discreet, resilient, and confident in holding a position with senior stakeholders
• Relevant qualification such as the ICA Diploma in Governance, Risk and Compliance, CISI Investment Operations Certificate, or equivalent is desirable
• Exposure to more than one jurisdiction, particularly Portugal/Europe (CMVM/ESMA), Australia (ASIC), South Africa (FSCA), the Bahamas (SCB), or Seychelles (FSA) is desirable
• Understanding of leveraged products, client money and client asset rules, retail client protections, leverage limits, and negative balance protection is desirable
• Financial crime, AML, or sanctions experience is desirable

Core Competencies

Demonstrates expertise in compliance management within regulated financial services, including hands-on experience in complaints handling, regulatory frameworks, and compliance monitoring. Capable of effectively communicating complex regulatory requirements to diverse stakeholders while managing multiple priorities across jurisdictions.

Highest-signal resume keywords

• Compliance Management
• Regulatory Framework Knowledge
• Complaints Handling
• Compliance Monitoring
• Financial Crime Experience

ATS Optimization Keywords

Hard Skills

• Regulatory Reporting
• Root Cause Analysis
• Monitoring Findings Writing
• AML Compliance
• CTF Compliance
• Transaction Monitoring
• Regulatory Submissions
• Risk-Based Compliance Monitoring
• Conduct Monitoring
• Client Money Rules

Soft Skills

• Strong Written Communication
• Organizational Skills
• Discretion
• Resilience
• Stakeholder Management

Certifications & Qualifications

• ICA Diploma in Governance, Risk and Compliance
• CISI Investment Operations Certificate

Industry Keywords

• FCA Handbook
• Financial Services
• Online Broker
• CFD
• Investment Firm
• Payments Business
• Regulatory Change
• Consumer Duty
• Leveraged Products
• Jurisdictional Compliance