Manager/Senior Manager, Legal and Compliance

Responsibilities: Manager/ Senior Manager, Legal and Compliance

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

  1. To handle 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. To ensure that company’s operations are in compliance with regulatory requirements. Report non-compliances to the Board of Directors;
  5. To ensure timely submission of reports or any information as required in accurate manner by regulatory bodies such as Securities Commission, Bursa Malaysia, etc;
  6. Liaise with legal advisors pertaining to all legal matters;
  7. Undertake assignments as instructed by the Board of Directors/Executive Director;
  8. Provide advisory relating to regulatory requirements in relation to futures / stockbroking business to other departments;
  9. Preparate training materials on Anti-Money Laundering and Anti-Terrorism Financing and Proceeds of Unlawful Activities Act 2001 (AMLATFPUAA 2001) and regulatory guidelines.


  • Candidate must possess at least a tertiary degree in a related field or has obtained the relevant accredited professional qualification in Compliance.
  • At least 8 years of working experience in Compliance within the capital market industry or banking or financial institutions.
  • Must passed Module 11 of the SCLE (SC Licensing Examination) and relevant Modules for Dealing in Securities/ Derivatives
  • 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: