Compliance Analyst

We’re looking for analytical and passionate people to join our proven team as a Compliance Officer / Compliance Analyst based in Kuala Lumpur, Malaysia.You will work with a diverse team of former investment bankers, strategy consultants and businessowners in developing, monitoring, and improving products to facilitate the activity of private investing.

Job Responsibilities
- Development and maintaining of compliance controls framework and implementation of compliance-related processes and procedures.
- Drafting and performing updates to compliance-related manuals and policies, such as Enterprise-Wide Risk Assessments, AML/CFT, business continuity planning, etc
- Drafting, maintaining of outsourcing policy, reviewing the outsourcing register and service level agreements for updates and revisions and any material development, changes, or additions to the current arrangements.
- Ensure that all operational procedures comply with applicable regulations, internal policies, and procedures.
- Keep abreast with regulatory changes and provide compliance advisory to senior management and business.
- Provide high level analysis on changes to regulations and provide support to business on implementation.
- Working with internal and external stakeholders with regards to requests on compliance related matters.
- Identify, provide assessment, and maintain documentation on compliance issues e.g., conflict of interest, complaints, etc, as well escalate issues to senior management/ Board in line with policy.
- Providing monthly compliance reports, logging of regulatory developments, personal dealing registers, compliance checklist, complaints registers, gifts registers, error logs and regulatory communication logs.
- Maintain compliance-related registers and records in line with regulatory requirements.
- Provide compliance advisory & support on client due diligence, perform AML/KYC process, ensure end-to-end management & documentation for the onboarding of new clients, KYC periodic review of existing clients and AML/CFT matters.
- Review KYC information submitted by clients, conduct AML/CFT name screening, risk rate clients and maintain documentation in accordance with regulatory requirements and internal AML/KYC policies and procedures.
- Follow up front office on the collection of the documents/ information and issues identified during client review.
- Engagement with the SC or other regulatory bodies on regulatory matters (e.g., technical breaches and remediation which includes queries and advice on remediation (if necessary).
- Maintains documentation of compliance activities, such as complaints received and investigation outcomes.
- Handling of internal or external audits and gap analysis pre/post audit, whilst addressing audit issues with internal or external auditors.
- Conduct training and updates on compliance topics and regulatory requirements.
- Lead projects for new processes and internal/ external audits.
- Files appropriate compliance reports with regulatory agencies.
- Ensures all processes are performed with strict adherence and within acceptable turnaround times.
- Plays a significant role in long-term planning, including the overarching initiative to gear towards operational excellence.
- Performs other ad-hoc compliance duties and projects as required.

Job Requirements
- At least 2 years of relevant experience in compliance work in a SC regulated financial industry, asset management firm, securities regulator, broker, or RMO / ECF operator would be an advantage.
- Experience in drafting policies, procedures and manuals as well as preparing reports for regulatory bodies and internal management.
- Excellent interpersonal and communication skills and a strong desire to learn and succeed.
- Excellent analytical skills and ability to accurately interpret complex documents and policies.
- Strong time management and organizational skills; able to manage and meet multiple deadlines.
- Fast learner, organized, meticulous, and highly detail oriented.
- Proficiency in Microsoft Office and ability to pick up new technology quickly.
- Relevant degree from a recognized university.
- Fresh graduates are welcome.

**Salary**: $2,566.85 - $7,167.68 per month

Work Location: In person