Get AI-powered advice on this job and more exclusive features.Trade Surveillance Compliance Officer (Up to MYR 7.2K Base + AWS + Bonuses)This role works closely with the Head of Compliance in ensuring strong compliance monitoring, regulatory compliance reporting, policies & procedures/framework building/implementing, etc.Responsibilities:Trade Surveillance: Focus on monitoring trading activities within a financial institution, including orders, executions, and other trade-related data.Transaction Monitoring: Assess historical/current customer information and interactions to provide a complete picture of customer activity. This can include transfers, deposits, and withdrawals.Support the compliance executives for higher level matters relating to day-to-day compliance work - Name screening, Know Your Client (KYC) reviews, and documentation reviews, among others.Work with the Compliance team to conduct risk assessments and implement strategies to mitigate compliance risks.Investigate potential compliance issues and recommend corrective actions.Ensure proper communication of compliance matters to all internal stakeholders.Qualifications:Bachelor''s degree in finance, accounting, or a related field.Around 5 years of experience in financial services compliance, preferably in the financial trading/capital markets/brokerage space.Willingness & ability to work in a fast-paced, collaborative environment.Seniority levelSeniority levelMid-Senior levelEmployment typeEmployment typeFull-timeJob functionJob functionFinance and Accounting/AuditingIndustriesFinancial Services, Banking, and Capital MarketsReferrals increase your chances of interviewing at Salient Group by 2xGet notified about new Compliance Officer jobs in Greater Kuala Lumpur.Senior Compliance Manager, Pharmaceuticals Malaysia, Singapore and ThailandIT Compliance and Audit Management ManagerKota Damansara, Selangor, Malaysia 2 weeks agoManager, Risk & Compliance - Group Business & Transaction BankingKuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia 4 days agoSenior Manager, Compliance & Ethics (Bangkok Based, Relocation Provided)Kuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia 1 week agoRisk and Compliance Manager (Financial Services)Kuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia 4 days agoWP. Kuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia 1 year agoTeam Lead, Capital Market Review & AdvisoryKuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia 1 week agoKuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia 10 months agoManager, Regional Clinical Compliance, JAPACKuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia 1 week agoSenior Manager, FinCrime Compliance (Bangkok Based, Relocation Provided)Kuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia 1 week agoManager - Governance, Risk & Compliance - TRC (Petaling Jaya)Binance Accelerator Program - Regulatory & Compliance Project Management (VIP Business)Kuala Lumpur City, Federal Territory of Kuala Lumpur, Malaysia 2 days agoKuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia 2 days agoVice President - Audit Manager, AML Compliance (Hybrid)Kuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia 2 weeks agoWP. Kuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia 1 month agoHead, Business Risk & Compliance ManagementWP. Kuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia 1 month agoKuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia 1 month agoKuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia 3 weeks agoPetaling Jaya, Selangor, Malaysia 11 months agoPetaling Jaya, Selangor, Malaysia 10 months agoKuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia 3 weeks agoDirector, CFCC Data Conduct, Privacy & Sovereignty (Malaysia/Philippines/Poland)Kuala Lumpur, Federal Territory of Kuala Lumpur, Malaysia 1 month agoPetaling Jaya, Selangor, Malaysia 2 months agoPetaling Jaya, Selangor, Malaysia 2 months agoWere unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr
Job Title
Trade Surveillance Compliance Officer (Base AWS Bonuses)