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 to developing, monitoring, and improving products to facilitate the activity of private investing.

**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. ‍

This job is based in Kuala Lumpur, Malaysia.

Everything we do is focused on helping build the private capital markets for the next generation of business owners and investors. We work hard but play hard as well.

**Summary of role requirements**:

- 2-3 years of relevant work experience required for this role
- Working rights required for this role