DEPUTY HEAD OF COMPLIANCE

Core Responsibilities

Regulatory Reporting: Oversee and ensure timely submission of all regulatory and statutory reports to relevant authorities.

Framework Review: Lead the review of compliance frameworks and policies to align with current regulatory requirements.

AML/CFT Monitoring: Oversee the end-to-end AML/CFT framework, supervise transaction monitoring, and lead investigations into suspicious activities.

STR Management: Review and approve Suspicious Transaction Reports (STR) for submission to regulators.

Trade Surveillance: Monitor trading activities to detect market misconduct and lead investigations into suspicious trading behaviors.

Leadership: Act as the primary liaison with regulators and auditors, and advise senior management on compliance risks.

Requirements

Education: Degree or professional qualification from a recognized institution approved by the Government of Malaysia.

Experience (One of the following):

Minimum 3 years of direct experience as a Compliance Officer in capital markets.

Minimum 5 years of relevant working experience in the capital market industry.

Diploma holder with at least 8 years of relevant experience in the capital market.

Expertise: Strong knowledge of securities and derivatives regulations, AML/CFT requirements, and industry best practices.

Competencies: Proven experience in managing compliance functions, strong analytical skills, and high integrity.