Head of Compliance

Investment Banking Compliance, Stockbroking Compliance, Head of Compliance
Your new company
This company is the first online equities broker offering innovative digital investment opportunities to investors. They are looking for experienced Stockbroking Compliance professional who possess excellent communication and stakeholder management skills to take on the challenge on leading the team to new heights

Your new role

  • Responsible for the Company’s risk management and compliance functions, including governance, credit recovery, confidential data, anti-corruption, Whistleblowing and overseeing legal as well as internal audit functions.
  • Develop due diligence and assurance program such as surveillance monitoring, transaction monitoring and suspicious transaction report
  • Develop and review policies and procedures to ensure compliance with regulatory guidelines, company requirements and industry best practices.
  • Appointed as the Designated Officer for Whistleblowing policy and to perform the duties assigned including assessing the Whistleblowing report received.

What you'll need to succeed
The ideal candidate will have had at least 10 years of experience in the Compliance space within the Capital Market industry OR Banking OR Financial Institutions industry. They would also be required to undertake required modules with SIDC such as Module 6, 7 & 11. Additionally they would require someone with strong stakeholder management skills and also people management skills.

What you'll get in return
You will be offered a generous salary, plus very generous employee benefits. You will get the opportunity to progress far within your career and be part of an organisation that promotes pro activeness and accountability and can drive your own progression.

What you need to do now? If you feel that you are suitable for this role, click “Apply” on the job. Alternatively, if you are keen on exploring other opportunities within the Banking and Financial Services, please feel free to contact me at 603-27868686 or Hazel.Cheng@hays.com.my #1228187


Job Type
Banking & Financial Services
Banking and Financial Services

Talk to a consultant

Talk to Hazel Cheng, the specialist consultant managing this position, located in Kuala Lumpur
Level 26, Menara 3, Petronas

Telephone: +60327868600

Similar jobs to Head of Compliance

  • Head of Shariah Compliance Review

    Shariah Compliance, Compliance Review, Regulatory Compliance
  • Compliance Advisory Manager

    Compliance Advisory, Regulatory Compliance, Banking
  • Regulatory Compliance Manager

    Regulatory Compliance, Gap Analysis, Banking, Insurance
  • Regulatory Compliance Manager

    Regulatory Compliance, Banking, Insurance, Gap Analysis
  • Governance, Risk & Compliance (GRC) Assistant Manager

    Consulting firm is looking for Cyber GRC talent who is experienced in NIST framework and ISO 27001 standards.