Compliance Senior Executive

1 week ago

Singapore RevUp Consulting Full time

A Global Asset Management is looking to hire a Compliance Executive / Assistant Manager for their Malaysia Office. This incumbent will be working closely with the Head of Compliance to formulate and implement internal controls, risk and compliance framework and develop policies and procedures in accordance with governing regulatory bodies and internal frameworks, policies and guidelines.

**Job duties**:

- Ensure the Company maintains constant compliance with all regulatory requirements.
- Monitor and review procedures and processes aligned to guidelines of regulations and compliance.
- Assist in the development and implementation of compliance and risk guidelines, rules, and procedures.
- Handle all on-boarding/KYC/EDD matters.
- Promptly report material developments and events to the Group and coordinate the resolution of those developments and events with the Group, as necessary.
- Support any group initiatives and projects as required.
- Perform trade surveillance.

**Requirements**:

- Bachelor’s degree in accounting, business related, finance related or law would be preferred.
- 3 - 6 years in a broker-dealer environment - experience in Fintech will be a plus.
- Able to work in a fast paced and start-up environment.
- Capable of working independently and being in a team.
- Have dealings with the securities commission and bursa.
- Ability to speak, read and write Chinese as you will be working closely with counterparts based in China.

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