429 Compliance Officer jobs in Malaysia

Monroe Consulting Group is partnering up with a leading fintech company, looking for a Senior Compliance Officer. You will be part of the Business Compliance team and will play a vital role in ensuring that our client's operations, framework in the jurisdictions they operate in APAC, adhere to all applicable regulatory requirements are in alignment with their various service partners compliance requirements and that the practices adhere to their internal policies.

Responsibilities:

• Assist with collating and completing the required Service Partners, Bank Partners Due Diligence/Onboarding/Risk Assessments requests, inspections & audits.
• Have a core focus on monitoring changes in the Regulatory landscape where the company operates, drafting responses to applicable regulatory consultation, identify and report on industry changes that may affect the business, as well as determining the required action to be undertaken. (including but not limited to required updates to applicable policies, and procedures)
• Assist with collating and submitting responses to regulatory, and industry draft consultation from the company's point of view.
• Prepare reports on compliance activities and present findings to senior management and relevant stakeholders.
• Advise, consult and assist the First line and key impacted business stakeholders with process, systems and operations developments and changes.
• Review and undertake deep dives and analysis of current processes and procedures and perform appropriate review and challenge to assist with the uplift and design of fit for purpose solutions.
• Assist the Head of Compliance with the necessary actions pertaining to Business Compliance deliverables on Company projects, priorities

Requirements:

• Bachelor's degree in Law, Finance, Business Administration, or a related field is highly desirable
• Minimum 5 years of experience with demonstrated expertise in compliance within the financial services or fintech sectors in the APAC Region, preferably with experience dealing with Australia, Singapore, Philippines, Malaysia.
• Strong knowledge of relevant regulations including but not limited to Payment Services regulations and regulatory landscape in APAC, AML/CTF and data protection laws
• Proven track record of developing and implementing compliance programs.
• Excellent analytical and problem-solving skills.
• Strong communication and interpersonal skills, with the ability to effectively engage with various stakeholders.
• Certification in compliance-related fields, such as CAMS, ICA, or similar, is highly desirable.

OCBC is Singapore’s longest established bank, dedicated to enabling individuals and businesses to achieve their aspirations since 1932. We are on a journey of transformation, leveraging technology and creativity to become a future-ready learning organisation. Our strategic ambition is to be Asia’s leading financial services partner for a sustainable future. We invite you to build the bank of the future, work in friendly, supportive teams, and grow your career.

• Assist Regulatory Compliance Officers in disseminating regulatory updates and correspondences within your division.
• Assist Regulatory Compliance Officers in promoting regulatory awareness and to identify training needs within your division.
• Notify and update Regulatory Compliance Officers of any new setup or changes in the business structure or activities impacting the regulatory compliance matrix.
• Work with Regulatory Compliance Officers in documenting and implementing regulatory compliance procedures.
• Update Regulatory Compliance Officer of any audit observations or comment sheets (e.g. by Group Audit, external auditors, regulatory authorities, etc.), including closure of the same, on regulatory compliance matters on a timely basis.
• Report all incidents of breach identified from your (1) Business Unit; (2) internal audit; (3) external audit; and (4) regulatory inspections, to the designated Regulatory Compliance Officer as and when they occur. Notwithstanding the above, significant or serious regulatory breaches are to be reported immediately.
• Coordinate the submission of Regulatory Breach Reports and promptly notify the designated Regulatory Compliance Officer on closure of, if any, remedial actions.
• Assist Regulatory Compliance Officer in co-ordinating and obtaining the Annual Compliance Certification sign-off by your Division Executive.
• Coordinate the submission of periodic Business Unit-Generic Questionnaires as part of Compliance Risk Assessment.
• Attend the quarterly Divisional Compliance Officers Regulatory Awareness Meetings.
• Maintain an effective communication channel between your division and Regulatory Compliance Unit.
• Provide support to Business Units from time to time including ABC risk assessment, ESPV, Enhanced Due Diligence, appropriateness and other internal and external requirements.
• Monitor and track regulatory compliance and breaches.

• Candidate must possess at least a Diploma or Advanced/ Higher/ Graduate Diploma in any field.
• Experience/ knowledge of banking is advantageous in the following areas: operations, processes, risk, regulations, compliance etc.
• Minimum 2 years of banking experience.
• Good communication and interpersonal skills.
• Able to work independently with minimal supervision, as well as in a team.
• Mature, meticulous, organized and takes initiative, drive, ability to work independently and in a team.
• Proficient in Microsoft Office applications especially in Word, Excel and PowerPoint.

• Competitive base salary.
• A suite of holistic, flexible benefits to suit every lifestyle.
• Community initiatives.
• Industry-leading learning and professional development opportunities.
• Your wellbeing, growth and aspirations are every bit as cared for as the needs of our customers.

• Seniority level: Entry level
• Employment type: Full-time
• Job function: Legal
• Industries: Banking

Overview

We are currently seeking highly motivated individual to join our team as Legal and Compliance Officer . This position will be responsible for providing legal advice and guidance to the company on various matters.

• Provide legal advice on trust laws, corporate governance, regulatory compliance, contracts, AMLA, intellectual property, employment law and any other related laws and regulations. Monitor and adapt to legal developments impacting the trust industry and estate planning.


• Review and/or update the policies, procedures and guidelines of the Company to ensure company operates in compliance with relevant laws, regulations, and internal policies.


• Overseeing and managing the company's legal affairs, including drafting, reviewing, and negotiating trust deeds, contracts, commercial agreements, and other legal instruments.


• Identifying and mitigating legal risks, and advising on appropriate risk management strategies


• Collaborating with cross-functional teams to provide legal guidance and support.


• Ensuring accurate record-keeping for regulatory filings, board meeting minutes, and compliance documents.


• Assist in tasks as and when assigned.

• Bachelor’s degree in law (LLB Hons) or equivalent.


• Preferably minimum of 2 years of practice as Advocate and Solicitors of the High Court of Malaya and have experience in the estate administration or matter related to trust is an added advantage.


• Expertise in corporate, regulatory compliance, and dispute resolution.


• Proficient in both written and spoken Bahasa Malaysia and English. Chinese speaking is an added advantage.


• Have knowledge of the Anti-Money Laundering, Anti-Terrorism Financing and Proceeds of Unlawful Activities Act 2001 (u201cAMLAu201d), subsidiary legislation and relevant instruments.


• Excellent analytical, problem solving and organizational skills.


• Positive attitude, highly initiative, and able to work independently with minimum supervision.


• Ability to handle multiple tasks and prioritize effectively.


• Discretion in handling sensitive and confidential information.

Fresh graduates are also encouraged to apply.

Overview

Asset Management Compliance Officer role at RHB Banking Group.

• To ensure the Business Division comply with relevant laws, rules, regulations and guidelines on the fund management industry by conducting Compliance Reviews;
• Conduct assigned Compliance Reviews in accordance with the Annual Work Plan;
• Perform review on Investment and Operations areas such as reviewing the daily Net Asset Value of unit trust funds, asset allocation and investment restrictions, checking and clearing breaches in Violation Manager, sending e-mail to fund managers to notify on the breaches and subsequently, incorporated in monthly Compliance Report to the Board of Directors report.
• Reviewing regulatory submission to the SC via ComRep (XBRL) on monthly, half yearly and annual basis and also, other regulatory body, reviewing the policies and procedures manuals of the company in line with changes in the laws, regulations, guidelines and industry developments.
• Organizing and preparing training materials (e.g. training slides, Learn & Lead) and/or dissemination of information (e.g. new/revised/updates laws, rules and regulations, guidelines and industry or market updates) to all employees of the company / entity.
• Perform reviews on offering document/advertisement and promotional materials as issued by the company/entity;
• Assist the Senior Manager/Superior to compile and provide information during regulatory visits, audits conducted by Employees Provident Fund (“EPF”)’s auditor and Federation of Investment Managers Malaysia (“FIMM”)’s requests;
• Any other responsibilities/ad-hoc assignments as assigned by the Head of Compliance, Asset Management from time to time and ensure timely completion the assignments.

• Entry level

• Full-time

• Legal