Senior Officer, Compliance

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

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 the compliance risks.

Benefits

• Opportunity to develop a professional career in Compliance
• Exposure to financial market regulations and compliance frameworks
• Supportive work environment with learning and career growth opportunities