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Head of Compliance

13/12/18 10:14
Cyberjaya, Selangor
Job Type:
Full Time


Reports To: Managing Director

Location: Cyberjaya

Hours of Work: 9:00 am to 6:00 pm

Key Purpose of Role:

Responsible for developing and executing a comprehensive Compliance and Regulatory Affairs strategy to support the business and growth of firm operating in a rapidly changing regulatory space. You will be a key hire of part of a very motivated and collaborative management team. You need to be hardworking, smart, resourceful, have a proven track record in establishing and running a compliance/regulatory affairs division. You  are confident that you can walk into an unstructured work situation, survey the working environment, roll up your sleeves and establish a regional compliance and regulatory affairs function. You are a team player who loves challenges and likes solving real world issues to make whatever you do a success.

Main Responsibilities:

Compliance Framework, Oversight and Deployment:

  • Responsible for creating/revising internal policies and processes to assist the business in meeting its regulatory responsibilities

  • Ensure the firm is able to evidence compliance with applicable regulation

  • Ensure the firm understands and fulfils its obligation to Treat Customers Fairly

  • Development and deployment of the firm’s conduct risk policies and procedures

  • Manage the internal Complaints Procedures

  • Responsible for the firm's Anti-Money Laundering (AML) procedures

  • AML Subject Matter Expert for SEA market, including but not limited to advice on regulations, directoved, guidance notes, consultation drafts

  • Stay abreast and communicate any regulatory changes in SEA to the business and resultant action

  • Technical Compliance Advice and Monitoring

  • Provide technical compliance advice to all areas of the business on all regulatory Know Your Customer (KYC) and AML matters

  • Advise the company on policy and procedural matters

  • Implement and oversee the training & competency framework

  • Implement appropriate internal monitoring (procedural and advice based)

  • Act as the main contact point for regulatory requests in the region (internal and external)

  • Conduct enhanced due diligence reviews of customers in the SEA market

  • Risk Management Framework

  • Day to day management of the encryption currency exchange risk management framework

  • Ensure the encryption currency exchange has an appropriate and robust approach to risk management and its control environment

  • A good understanding of controls and control environments, control appropriateness and effectiveness

  • A good understanding of monitoring and control testing tools and techniques

  • Ability to define control testing and monitoring objectives and plans and to execute control testing and monitoring as required

  • Identify and investigate unusual/suspicious transaction activity

  • Behavioural Competencies:

  • An entrepreneurial mindset with a strong sense of responsibility and very high level of integrity

  • Ability to persuade and challenge management and improve the firm’s operating environment

  • Ability to motivate and manage a team

  • Proactive approach to all aspects of work

  • Able to operate at senior level and command respect of senior stakeholders

  • Friendly, transparent, articulate and driven to succeed.

  • Excellent interpersonal, communication and negotiations skills

  • Professional and mature attitude

  • Gets the job done

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