Head, Compliance (Securities Brokerage Certificate required)

JOB PURPOSE:

Develop and implement the compliance framework to ensure the overall supervision of compliance with the relevant regulatory rules, regulations, guidelines; internal policies and procedures as well as the roll out and compliance with the regional guidelines, policies and procedures.

KEY ACCOUNTABILITIES 

i) Report / response to the regulators, the Regional Compliance & the Board on compliance matters and regulation changes

Provide reports updates to the BOD and Regional Compliance to highlight on:

- Any compliance matters/notices received from the Regulators

- New regulation from regulator

- Regulatory developments and highlight the internal / external non-compliance.

ii) Compliance Advisory on new Regulatory/ Development/ Updates regulations of the Regulators to all relevant unit

Communicate and support businesses/relevant units to:  - Let them understand the new changes in laws, regulations, rules, guidelines of the Regulator/the Group

-  Co-ordinate with the relevant units to support them to build process which adapt with the new/update Regulator/ the Compliance Group s requirement 

iii) Compliance monitoring, reviews and do inspection (if need)

Organize the plan and scope for the regular and ad-hoc compliance reviews/ monitoring.

iv) Compliance Advisory on new products/ procedures/products to prevent illegal, unethical

Communicate and support businesses/relevant units to ensure that the new products/ procedures comply with the regulations of the Country Regulator/the Compliance Group

v) Compliance Training

Work with the Human Resources Department and others as appropriate to plan training courses, including appropriate introductory training for new employees as well as ongoing training for all employees and managers

vi) To be responsibilities all activities of Compliance Department

REQUIREMENT

1. Academic Background:
2. Bachelor's degree in Law, Finance, Accounting, Economics, or related fields.
3. Postgraduate degree (MBA, Master's in Compliance, or Law) is often preferred.
4. Professional Qualification/Certification:

1. Securities Licensing/Brokerage License is a must
2. Anti-Money Laundering Specialist (CAMS).
3. International Compliance Association (ICA) Diploma.
4. Certified Fraud Examiner (CFE).
5. ACAMS Sanctions Specialist (CSS) for sanctions expertise.
6. Other Certification in areas of AML, regulatory, internal audit (e.g. CIA, IAP, CRMA), financial market/market surveillance or as specified by country/regulations.

3. Core Skillsets

• Leadership & Strategic Thinking:

Ability to design and implement compliance frameworks aligned with business strategy.

• Regulatory Interpretation:

Strong analytical skills to interpret complex laws and regulations.

• Risk Management and Decision Making:

Expertise in identifying, assessing, and mitigating compliance risks.

Uses strong analytical and investigative skills to assess complex and sensitive situations, exercising sound judgment and independence to deliver effective outcomes in challenging market integrity cases.

• Communication & Influence:

Ability to effectively engage regulators, senior management, and stakeholders effectively.

• Technology Awareness:

Familiarity with RegTech, transaction monitoring systems, market surveillance system and data analytics

• Top Steward of Market Integrity:

Leads full-spectrum market surveillance across all asset classes, proactively detecting and addressing insider trading, market manipulation, misleading activity, and abusive practices using advanced tools and smart monitoring approaches.

4.Knowledge Areas

• Local & Global Regulatory Landscape:

Deep understanding of local laws (e.g., Bank Negara Malaysia, Bursa Malaysia, Securities Commission guidelines, local laws, State Securities Commission (SSC) and State Bank of Vietnam (SBV) and international standards (FATF, Basel, OFAC).

• Sound knowledge in the following Compliance Domains:

AML/CFT: Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), suspicious transaction reporting.

Anti-Bribery & Corruption (AB&C): AP assessment, Donation & Sponsorship and Gift & Entertainment, internal controls.

Sanctions: OFAC, UN, EU, FATF sanctions screening and management.

Data Privacy: PDPA, MCIPD, GDPR compliance.

Market Conduct & Ethics: Insider trading, fair dealing and other possible market abuse activities

• Understanding of business

Knowledge of key products and processes of investment banking/securities firm.

5. Working Experience

• Years of Experience:

Typically 10–15+ years in compliance, risk management, or regulatory roles.

• Industry Exposure:

Banking, securities, or financial services.

• Regulatory Engagement/liaison:

Proven track record of dealing with regulators and audits.

Acts as the main point of contact with regulators, providing clear, insightful reports and analysis to senior management and the Board, while confidently handling audits, reviews, and regulatory inquiries.

• Transformation Projects:

Experience in implementing compliance programs, remediation plans, and digital compliance solutions

6.Additional Competencies

• Crisis management and ability to handle regulatory investigations.
• Strong governance and reporting skills for Board and senior management.
• Cultural awareness for cross-border compliance in multinational organizations.