Senior Compliance Officer - Financial Markets & Regulations

UOB Kay Hian; Kuala Lumpur; On-site; MYR 60,000 - 80,000; Full time

Job summary

A financial services firm in Kuala Lumpur is looking for a Senior Compliance Officer to ensure compliance with regulatory standards and internal policies. The successful candidate will conduct compliance reviews, liaise with management to address compliance issues, and prepare reports for the Head of Compliance. Required qualifications include a degree in a relevant discipline, experience in Audit or Compliance, and an understanding of regulatory requirements. This role offers career development and exposure to financial market regulations.

Benefits

Opportunities for career development

Supportive work environment

Exposure to financial market regulations

Qualifications

• 2–3 years of experience in Audit, Compliance, or Risk Management.
• Preferably with 3 years experience in Stockbroking or Investment bank.
• Strong understanding of regulatory requirements from Bursa Malaysia, SC, and BNM.

Responsibilities

• Perform compliance reviews and risk assessments to identify weaknesses.
• Liaise with management for issue determination and follow-up.
• Ensure proper reporting of compliance violations.

Skills

Compliance risk assessment

Regulatory requirements understanding

Interpersonal skills

Problem-solving skills

Report-writing skills

Education

Degree in Accountancy, Finance, IT, Law or relevant discipline

Job description

A financial services firm in Kuala Lumpur is looking for a Senior Compliance Officer to ensure compliance with regulatory standards and internal policies. The successful candidate will conduct compliance reviews, liaise with management to address compliance issues, and prepare reports for the Head of Compliance. Required qualifications include a degree in a relevant discipline, experience in Audit or Compliance, and an understanding of regulatory requirements. This role offers career development and exposure to financial market regulations.