Senior Intermediary Compliance & Oversight Manager

Securities Commission Malaysia; Kuala Lumpur; Vor Ort; MYR 180.000 - 260.000; Vollzeit

Zusammenfassung

Securities Commission Malaysia is seeking a senior professional to contribute to and manage supervisory oversight frameworks, policies, and initiatives within the capital market. You will monitor industry developments, provide recommendations on licensed activities, and maintain stakeholder relationships.

The role involves leading complex examinations, drafting reports, and guiding teams to ensure compliance with statutory and regulatory requirements.

Qualifikationen

• Degree in any relevant discipline.
• 11-15 years of working experience.
• Experience in auditing, regulatory authority, financial institution or capital market intermediaries.
• Knowledge in examination skills, policy and business rules, risk management and financial monitoring.

Aufgaben

• Oversee the planning and implementation of the research and analysis on compliance and development state of industry and intermediaries to ensure practice consistency.
• Support in developing and implementing effective governance guidelines, practices and policies.
• Lead and supervise the implementation of complex examination to ensure high risk intermediaries are under control.
• Lead/review drafting of documents and written reports, perform analysis, assess findings, and formulate conclusions about the compliance level of intermediaries in relation to statutory and regulatory requirements.
• Lead/supervise administrative/enforcement proceedings and propose recommendations to the Head for tabling.
• Provide recommendations in response to the development and compliance analysis and trends in the capital market and industry.
• Engage with internal and external stakeholders to maintain strong working relationships.
• Share technical insights related to developments and issues pertaining to the industry and intermediaries.
• Participate/contribute to the various enforcement working group.
• Plan, assign and manage deliverables to ensure effectiveness and efficiency.
• Review and evaluate the performance of team members as well as provide timely feedback.
• Coach and mentor team members to drive the team in achieving goals and KPIs.
• Identify areas of improvement among team members, considering the competency framework and the demand of the capital market.
• Involve in organisation-wide HR initiatives.

Ausbildung

Degree in any relevant discipline

Jobbeschreibung

Securities Commission Malaysia is seeking a senior professional to contribute to and manage supervisory oversight frameworks, policies, and initiatives within the capital market. You will monitor industry developments, provide recommendations on licensed activities, and maintain stakeholder relationships.

The role involves leading complex examinations, drafting reports, and guiding teams to ensure compliance with statutory and regulatory requirements.