SENIOR COMPLIANCE OFFICER

The Senior Compliance Officer will be responsible for supporting the company’s compliance program, ensuring that all operations and business activities comply with relevant regulations and standards. This role requires a detail-oriented individual with a strong understanding of the financial services industry, as well as a proactive approach to managing relationships with regulators and stakeholders. The ideal candidate will be familiar with the Securities Commission (SC) guidelines and have experience engaging with regulators in the finance industry, or be eager to learn.

Key Responsibilities:

1. Compliance Monitoring & Reporting
   - Support the development and implementation of compliance policies, procedures, and controls to ensure the company meets all regulatory requirements.
   - Conduct regular compliance reviews and audits to monitor adherence to internal policies and external regulations, including Securities Commission (SC) guidelines and other relevant industry standards.
   - Prepare and submit timely and accurate reports on compliance status, including risk assessments, audit findings, and regulatory updates.
   - Maintain relationships with regulatory bodies (such as the Securities Commission, Bank Negara Malaysia, etc.) and act as a point of contact for compliance-related inquiries.
   - Monitor regulatory changes and ensure the company remains updated on new and emerging regulations.
   - Assist in preparing documentation and responding to regulatory queries or audits.
2. Risk Management & Compliance Training
   - Assist in identifying and mitigating compliance risks through proactive monitoring and risk assessment processes.
   - Provide compliance training and awareness programs to employees to ensure understanding and adherence to regulatory requirements.
   - Collaborate with various departments (e.g., legal, operations, finance) to promote compliance awareness throughout the organization.
3. Policy Development & Implementation
   - Assist in the drafting, updating, and implementation of compliance policies and procedures to align with industry best practices and regulatory requirements.
   - Ensure that policies are communicated effectively across the organization and are consistently enforced.
4. Investigations & Incident Management
   - Investigate potential compliance breaches or incidents and assist in the development of corrective and preventive action plans.
   - Work with internal teams to address and resolve any compliance-related issues or concerns promptly.
   - Stay current with relevant laws, regulations, and industry best practices, with a focus on improving compliance processes.
   - Recommend improvements to the compliance framework to enhance efficiency and effectiveness in meeting regulatory requirements.

Required Qualifications & Experience:

1. Education: Bachelor’s degree in Law, Business, Finance, or related field. A professional compliance qualification (e.g., International Compliance Association (ICA) or similar) is a plus.
2. Experience: Minimum of 2 years of experience in a compliance role within the financial services industry.
3. Regulatory Knowledge: Familiarity with Securities Commission (SC) guidelines, Bank Negara Malaysia regulations, and other relevant financial regulations is highly preferred.
4. Regulatory Interaction: Experience in dealing with regulators, responding to regulatory inquiries, or participating in audits or inspections.
5. Attention to Detail: Strong attention to detail and the ability to identify risks and ensure compliance with legal and regulatory standards.
6. Analytical Skills: Strong analytical and problem-solving skills with the ability to assess complex regulatory requirements and provide clear recommendations.
7. Communication Skills: Excellent written and verbal communication skills, with the ability to present compliance matters to senior management and external stakeholders.
8. Strong understanding of financial industry regulations and compliance frameworks.
9. Ability to work independently, take initiative, and handle multiple priorities.
10. A proactive and solutions-oriented mindset.
11. High level of integrity and professionalism.
12. Ability to build strong relationships with internal teams and external regulators.