Senior Executive/Assistant Manager, Legal & Compliance

Responsibilities: Senior Executive/ Assistant Manager, Legal & Compliance

The duties of the Senior Eexcutive/Assistant Manager, Legal and Compliance include but not limited to the followings:

1. To assist the Head, Legal and Compliance of the on all compliance matters as well as liaise with personnel responsible for ensuring compliance within the departments/divisions in order to discharge the duties and functions effectively;
2. Ensure compliance with local requirements by studying existing and new legislation enforcing adherence to requirements; advising management on needed actions.
3. Keep abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control.
4. Conduct compliance reviews to ensure that company’s operations are in compliance with regulatory requirements. Highlight findings to the HOD concern and follow up on the remedial action. Report non-compliances to the Compliance Officer / Head, Legal and Compliance;
5. Prepare the following applications but not limited to the following for the Securities Commission approval:

• Appointment of new key management
• Any other applications where applicable from time to time

6. Timely submission of reports or any information as required in timely and accurate manner by regulatory bodies such as Securities Commission, Bursa Malaysia, etc;
7. Liaise with legal advisors pertaining to all legal matters;
8. Undertake assignments as instructed by the Board of Directors/Executive Director;
9. Provide advisory relating to futures contract to other departments;
10. Assist in the preparation of training materials on Anti-Money Laundering and Anti-Terrorism Financing and Proceeds of Unlawful Activities Act 2001 (AMLATFPUAA 2001).

Requirements:

• Candidate must possess at least a tertiary degree in a related field or has obtained the relevant accredited professional qualification in Compliance.
• 2 – 5 years of working experience in Compliance within the capital market industry or banking or financial institutions.
• Completion of SIDC modules relevant to the scope of responsibilities will be an added advantage.
• Possess excellent communication, presentation and interpersonal skills.
• Ability to work effectively in a team and manage stakeholders.
• Possess analytical skills, critical thinking and is detail-oriented.

If you are interested to apply, please contact the person in charge:

• Jocelyn Lee – jocelyn.lee@phillipcapital.com.my
• Kiang Jia Ling – jialing@phillipcapital.com.my