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Executive – Compliance

Job Description

  • Conduct periodic compliance reviews and monitoring in accordance with the Compliance Plan and Program.
  • Assist HOC/Manager to prepare the Compliance Report and other reporting which is required as and when by the regulatory bodies.
  • Assist HOC to establish, implement and continuously improve frameworks, policies, procedures, processes and control to ensure compliance by the company with all laws, regulations and guidelines, including Anti-Money Laundering (AML) and Counter Financing of Terrorism (CFT) rules and regulations.
  • Assist HOC/Manager in handling requests from the regulators.
  • Assist HOC/Manager to conduct market surveillance reviews.
  • Assists in the Compliance Departments’ general administrative functions.
  • Develop close relationship with business unit to inculcate a culture of compliance within the business.
  • Conduct Watchlist Screening, Customer Due Diligence, Enhanced Due Diligence, periodic reviews, transactions activity checks and other reviews/investigations in accordance with AML/CFT requirements.
  • Ad-hoc Compliance Review on specific operational departments as and when required.
  • To perform other duties as maybe directed by Management from time to time.


  • Bachelor Degree in Finance, Business Studies, Law or equivalent
  • Preferably pass the relevant SC Licensing Examination of Module 6 (Stock Market and Securities Law), Module 7 (Financial Statement Analysis and Asset Valuation) and Module 11 (Fundamental of Compliance).

Interested candidate, please send your resume to Human Resources at

Salary: RM2200-RM3500
Experience: • Minimum 2-3 years of relevant work experience in the financial services industry preferably in Compliance and/or with a securities exchange or regulator. Fresh graduate will also be considered.
Location: Wisma Noble Land Kuala Lumpur
Company: PM Securities Sdn Bhd
Department: Risk Management
Job Level: Executive / D3

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