Senior Compliance Officer (Financial Advisory Sector)

Jobstreet Malaysia; Selangor; On-site; MYR 90,000 - 120,000; Full time

Job summary

A leading financial advisory firm in Malaysia is seeking a Senior Compliance Officer to lead compliance initiatives and ensure adherence to regulations. The role involves developing compliance programs, managing audits, and collaborating with regulatory bodies. Candidates should have a relevant degree, professional certifications, and significant experience in regulatory compliance.

Qualifications

• Minimum 5 years of regulatory compliance experience in a licensed financial services firm.
• Strong understanding of FSA 2013, BNM Policy Documents.
• High integrity with no history of regulatory issues.

Responsibilities

• Lead and manage regulatory compliance programs and internal audits.
• Serve as the primary liaison with Bank Negara Malaysia (BNM).
• Monitor regulatory changes and implement accordingly.

Skills

Analytical

Detail-oriented

Excellent communication skills

Education

Bachelor’s degree in Law, Finance, Accounting, Risk Management, or related field

Professional certifications (ICA, CAMS, CFP preferred)

Job description

Senior Compliance Officer (Financial Advisory Sector)

We are a regulated financial adviser firm seeking a qualified and experienced Compliance Officer to lead our compliance initiatives and ensure adherence to the Financial Services Act (FSA), Bank Negara Malaysia (BNM) regulations, and internal governance frameworks. This strategic position supports our license renewal and fosters a strong corporate compliance culture.

Key Responsibilities

1. Lead and manage regulatory compliance programs, policies, and internal audits.
2. Serve as the primary liaison with Bank Negara Malaysia (BNM) and other regulatory bodies.
3. Monitor and interpret regulatory changes, ensuring timely implementation.
4. Ensure timely submission of regulatory reports, including Balanced Scorecard (BSC), CPD logs, shareholder notifications, and auditor appointments.
5. Develop, implement, and maintain compliance SOPs.
6. Conduct internal compliance training and awareness sessions.
7. Advise management on risk and compliance matters.

Requirements

Education & Certification

• Bachelor’s degree in Law, Finance, Accounting, Risk Management, or related field.
• Professional certifications such as ICA, CAMS, CFP are preferred.

Experience

• Minimum 5 years of regulatory compliance experience within a licensed financial services firm, preferably in financial advisory, insurance, or capital markets.

Knowledge

• Strong understanding of the Financial Services Act 2013, BNM Policy Documents, and related regulations.

Skills & Attributes

• Excellent written and verbal communication skills.
• Analytical, detail-oriented, and capable of independent judgment.
• High integrity with no history of regulatory issues or enforcement actions.

Application Deadline

7 July 2025

How to Apply

Interested candidates should submit their documents to [e-mail] or apply via JobStreet:

• Cover letter outlining relevant experience and interest in the role.