Securities Commission Malaysia Hiring! Full Time Assistant Manager-Manager, Compliance Intervention Unit in Federal Territory - Ricebowl

The ideal candidate will be responsible for collecting and analysing information, conducting reviews, and identifying breaches of securities laws and regulations to support intervention actions against Registered Market Operators (RMOs), intermediaries, and their representatives.

Responsibilities

• Assist supervisor in making arrangements and preparing documentation for submission to the relevant committee Secretariat for tabling of papers to Central Enforcement Committee (CEC) and/or Sanctions Committee (SancCom) as well as any matter relating to review of SC’s decision.
• Conducting thorough reviews and assessment of the adequacy of facts obtained, findings, information gathered and provide recommendation that are necessary, taking into consideration the complexity of the case.
• Engage and collaborate with relevant internal and external stakeholders to ensure an efficient facts gathering process (e.g. line depts, intermediaries, representatives, etc.)
• Participate and contribute to the various enforcement working group e.g. Fraud Working Group (FWG), Coordinated Enforcement Working Group (CEWG), and FIMM Referral Working Group (FRWG).
• Provide support in offering technical & legal advice on the requirements and facts that are required to substantiate violations of securities laws.
• Playing a role in fostering a culture of excellence, collaboration, and positive enthusiasm within the team.

Qualifications

• Degree in any relevant discipline
• 3-5 years of working experience in capital market / financial industry
• Understanding of the SC’s business, industry and capital market
• Understanding of the regulatory and legal requirements of the capital market
• Technical knowledge of capital market activities and business model such as fund management, dealing / brokering / intermediating, advisory, capital market product origination etc.