JOB PURPOSE:
Assist in conducting compliance reviews to ensure adherence to regulatory requirements governing the firm's regulated activities, including corporate finance advisory, research, and treasury functions undertaken by Kenanga Investment Bank Berhad, as well as private equity activities conducted by Kenanga Private Equity.
Responsibilities
- Assist in reviewing compliance with regulatory requirements applicable to the business units regulated activities.
- Support the conduct of independent assessments to ensure adherence to regulatory requirements, internal policies, and procedures, particularly during the submission stage of corporate proposals.
- Assist in developing and updating compliance checklists to ensure alignment with current regulations.
- Review and approve employee trading requests, and maintain key compliance registers including the Restricted List, Blackout List, Register of Conflicts, and authorized Crossing the Wall requests.
- Support the preparation of reports, papers, and presentations for the Board of Directors and internal committees.
- Assist in organizing and delivering engagement sessions and training initiatives to enhance compliance awareness across the organization.
Job Requirements
- Degree in Finance, Law, or related discipline.
- Completion of relevant regulatory examinations (Compliance).
- Minimum 8 years experience in securities / financial services / related field.
- Strong understanding of regulatory requirements, compliance frameworks, and capital market activities.
- Proficient in Microsoft Office applications.
- Strong auditing and analytical skills with attention to detail.
- Good communication and report-writing skills.
- Ability to work independently, manage multiple tasks, and meet tight deadlines.
