Assistant Manager/Manager, Product & Technology Compliance

Key roles & responsibility for Product and Technology Compliance

1. Regulatory Advisory for Products and Business Initiatives

• Provide regulatory advice and guidance on new products, product enhancements, structured products, derivatives products, and business initiatives.
• Assess applicability of regulatory requirements issued by Securities Commission Malaysia (SC), Bursa Malaysia, and Bank Negara Malaysia (BNM).
• Interpret laws, guidelines, circulars, and regulatory expectations for business stakeholders.

2. Compliance Review of New Products

• Perform compliance assessment and review of new products, structured products, warrants, OTC derivatives, digital initiatives, and business proposals before launch.
• Identify regulatory obligations, licensing implications, disclosure requirements, and compliance risks.
• Ensure product governance requirements are adequately addressed prior to implementation.

3. Derivatives Compliance Oversight

• Act as the registered Compliance Officer for derivatives-related activities.
• Provide compliance oversight on derivatives business, products, trading activities, and operational processes.
• Advise business units on compliance requirements relating to derivatives execution, reporting, conduct, and market regulations.

4. Regulatory Reporting and Engagement

• Coordinate and submit regulatory reports to regulators and exchanges.
• Serve as a liaison with regulators on product-related matters, regulatory notifications, inspections, enquiries, and submissions.
• Support responses to regulatory reviews and thematic examinations

5. Governance and Stakeholder Management

• Participate in governance committees, working groups, and strategic projects involving products, technology, and derivatives.
• Engage with Front Office, Risk, Operations, Legal, Technology, and other control functions to ensure regulatory compliance is embedded into product lifecycle management.
• Provide independent challenge and compliance input during product approval discussions.

Requirements

• Bachelor's Degree or professional qualification in Accounting, Finance, Law, Business Administration, or related disciplines.
• Minimum 3 years of experience in Compliance, Product Compliance, Technology Compliance, Risk Management, or related fields.
• Good understanding of financial services regulations and regulatory frameworks.
• Experience in reviewing products, business initiatives, or technology-related projects.
• Knowledge of capital markets, treasury, structured products, or derivatives is an added advantage.
• Strong stakeholder management, communication, and analytical skills.
• Ability to work independently and manage multiple priorities in a fast-paced environment.