Strategic Compliance & Risk Manager, Capital Markets

Moomoo MY; Kuala Lumpur; On-site; MYR 180,000 - 240,000; Full time

Benefits offered by this job

13 months contractual bonus

Competitive compensation & benefits

Performance bonus

Exam/Certification Sponsorship

Career Development Opportunities

Job summary

Moomoo MY is seeking an experienced Manager, Compliance & Risk Management to drive strong governance and uphold high standards of compliance across the company. The role includes advisory support on regulatory and risk matters, promoting a robust compliance culture, and strengthening the compliance and risk framework.

The ideal candidate will bring a strong capital markets compliance background, with experience dealing with the Securities Commission Malaysia and Bursa Malaysia.

Qualifications

• Bachelor's degree in Law, Finance, Business, Risk Management, Compliance, or a related discipline.
• Minimum 8 years of relevant experience in compliance, preferably within a stockbroking firm, investment bank, or other capital market intermediary.
• In-depth understanding of capital market laws, regulations, guidelines, and industry best practices.
• SIDC Modules 6, 7, 11, 14 or 16 would be an added advantage.
• English and Malay proficiency required; Chinese/Mandarin is advantageous.
• Bumiputera candidates are encouraged to apply.
• Strong communication and stakeholder management skills.
• Ability to work independently in a fast-paced evolving environment.

Responsibilities

• Develop, manage, maintain and implement compliance and risk management policies, procedures and controls.
• Oversee the compliance program and monitoring to identify gaps or non-compliance issues.
• Provide compliance and risk advice to business and functional teams on activities and initiatives.
• Support day-to-day compliance reviews, including transaction monitoring and trade surveillance.
• Monitor changes in laws, regulations and communicate updates to stakeholders.
• Act as primary compliance contact with regulatory authorities.
• Conduct ongoing risk identification, monitoring, and reporting.
• Prepare regulatory reports and compliance/risk materials for boards.
• Lead and manage a small team with planning, coaching and performance management.
• Collaborate with business, operations, legal, product and other stakeholders to resolve issues.
• Perform other compliance or risk management duties as assigned.

Education

Bachelor's degree in Law/Finance/Business/Risk Management/Compliance

Job description

Moomoo MY is seeking an experienced Manager, Compliance & Risk Management to drive strong governance and uphold high standards of compliance across the company. The role includes advisory support on regulatory and risk matters, promoting a robust compliance culture, and strengthening the compliance and risk framework.

The ideal candidate will bring a strong capital markets compliance background, with experience dealing with the Securities Commission Malaysia and Bursa Malaysia.