Senior Officer, Compliance

UOB KAY HIAN (M) SDN. BHD.; Kuala Lumpur; On-site; MYR 60,000 - 80,000; Full time

Job summary

A regional leading securities firm in Kuala Lumpur is seeking a Senior Compliance Officer to ensure regulatory compliance and internal policy adherence. The role involves performing compliance reviews, liaising with management on compliance issues, and preparing internal reports. Ideal candidates should have a degree in Accountancy, Finance, or Law, alongside experience in Audit or Compliance. Strong analytical and problem-solving capabilities are essential. A career at this dynamic firm offers regional exposure in a pivotal industry.

Qualifications

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

Responsibilities

• Perform compliance reviews and risk assessments, recommend corrective actions.
• Liaise with management regarding compliance issues and monitoring activities.
• Prepare internal reports for compliance efforts and progress updates.

Skills

Analytical skills

Problem-solving skills

Interpersonal skills

Report-writing skills

Education

Degree in Accountancy, Finance, IT, or Law

Job description

Job Description

We are seeking dedicated and experienced Senior Compliance Officers to join our team at the Kuala Lumpur Principal Office. You will play a key role in ensuring the company’s operations comply with regulatory standards and internal policies.

Key Responsibilities

• Perform compliance reviews and compliance risk assessments, identify any weaknesses and, where necessary, recommend follow-up corrective actions.
• Liaise with local management, staff and compliance management in the determination, follow-up and escalation of issues arising from monitoring activities.
• Ensure proper reporting of violations or potential violations to Head of Compliance.
• Assist in reporting and follow-up of any compliance-related internal investigations.
• Assist in the preparation of internal reports as requested in order to keep Head of Compliance informed of the progress of compliance efforts, including preparation of materials for the Audit & Risk Management Committee and Board Meetings.

Job Requirements

• Possess professional qualification or Degree in Accountancy, Finance, IT, Law or other relevant discipline.
• 2–3 years of experience in Audit, Compliance, or Risk Management.
• Preferably with 3 years experience in Stockbroking or Investment bank.
• Candidates who have passed any Securities Industry Development Corporation (SIDC) Licensing Examination module will have an added advantage.
• Strong understanding of regulatory requirements from Bursa Malaysia, Securities Commission Malaysia (SC), and Bank Negara Malaysia (BNM).
• Resourceful, meticulous, and analytical with excellent interpersonal, problem-solving, and report-writing skills.
• Ability to keep pace with changing regulatory environment and its impact on compliance risks.

Company Overview

UOB Kay Hian Securities (M) Sdn Bhd, a Participating Organisation of Bursa Malaysia Securities Berhad, is part of the UOB Kay Hian Group, the largest Singaporean stockbroker by both market capitalization and size of sales force. The Group has strong regional and global markets presence providing stockbroking and related services to institutional and retail clients. With its extensive distribution network spanning across the globe in Malaysia, Hong Kong, Thailand, Indonesia, Philippines, Shanghai, London and New York, you can look forward to regional exposure in one of the most dynamic and challenging industries. Over 100 years of history behind us, we are committed to grooming elites in the securities trading and investments industry. If you are driven by excellence, a career at UOB Kay Hian is for you.