Full Time
Kuala Lumpur
Posted 1 month ago

Company Business Nature:

An investment holding firm that provides stockbroking, corporate finance advisory and other advisory services. Owns trading platforms as well.


Location: Solaris, Mont Kiara

Working Days: Monday – Friday


Key Responsibilities:

  • Understand business processes, new and/or changes in laws, regulations, related self-regulatory organization standards and codes of conduct applicable to the business activities and cascaded to business line for implementation.
  • Perform compliance reviews and compliance risk assessments, identify any weaknesses and, where necessary, recommend follow-up corrective actions.
  • Provide advisory services on regulatory compliance related issues and act as reference point within the firm for compliance queries by establishing/updating written guidance on the implementation of compliance laws, rules and standard.
  • Provide value added feedback and recommendation towards improving the effectiveness of compliance tools to ensure its suitability in business processes.



  • Minimum 3 years of experience in compliance in Financial Services industry, preferably a bank or securities
  • Bachelor’s degree in relevant discipline such as Finance, Accounting or Legal.
  • Must Pass Module 11 of the SCLE (SC Licensing Examination) and at least 2 other relevant Modules for Dealing in Securities (such as Modules 14, 16, 17 or 18)
  • Strong understanding of the regulatory requirements pertaining to Bursa Malaysia, Securities Commission and Bank Negara Malaysia.


Salary: RM7,000 – RM8,000

Interview: 2 stages (1st round: virtual; 2nd round: physical)


  • This is a CONFIDENTIAL SEARCH role.
  • Must be able to onboard by March 2024


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