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Job Description

Job Descriptions
• Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
• Conduct or direct the internal investigation of compliance issues.
• Assess product, compliance, or operational risks and develop risk management strategies.
• Conduct environmental audits to ensure adherence to environmental standards.
• Identify compliance issues that require follow-up or investigation.
• Disseminate written policies and procedures related to compliance activities.
• File appropriate compliance reports with regulatory agencies.
• Evaluate testing procedures to meet the specifications of environmental monitoring programs.
• Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
• Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
• Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
• Consult with corporate attorneys as necessary to address difficult legal compliance issues.
• Discuss emerging compliance issues with management or employees.
• Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
• Advise internal management or business partners on the implementation or operation of compliance programs.
• Provide employee training on compliance related topics, policies, or procedures.
• Provide assistance to internal or external auditors in compliance reviews.
• Prepare management reports regarding compliance operations and progress.
• Monitor compliance systems to ensure their effectiveness.
• Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
• Oversee internal reporting systems such as corporate compliance hotlines and inform employees about these systems.
• Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.
• Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
• Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
• Direct the development or implementation of compliance-related policies and procedures throughout an organization.
• Handling all compliance operations such as transaction monitoring.
• Crafting KYC, AML, CFT SOP and regular update AML manual.
• Involve in compliance policy and process drafting
• Other tasks as assigned by the supervisor/manager.

Job Requirements

Requirements:

  • More than 5 years of working experience
  • Minimum 3 years of experience in Anti-Money Laundering, Know Your Client (KYC) checks or compliance related field, and with a large multinational financial institution or similar.
  • Team player and self-starter with ability to work proactively and cooperatively with others.
  • Bachelor degree 
  • Experience in financial reporting management systems, or information technology
  • Experience in a leadership role that supports process/culture change is highly desirable. 
  • The ability to maintain calm under pressure
  • A thorough knowledge of the product or service the company they work for is offering
  • Efficiency and organisational skill
  • Administrative skills

Additional Info

Experience Level

4 - 7 Years of Experience

Job Specialisation

General Work, Management Trainee, Others


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Senior Compliance Executive

TOKENIZE TECHNOLOGY (M) SDN BHD

Undisclosed

Kenanga Tower

Full-Time

This job is no longer available