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Job Summary
This role is responsible in mitigating risks, maintaining ethical standards, and fostering a culture of compliance within the department and organization.
Job Accountabilities:
- Responsible for ensuring that the sales team adheres to all relevant laws, regulations, internal policies and guidelines.
- Develop and implement compliance framework, policies and procedures for the sales department.
- Conduct regular testing, audits and assessments to ensure compliance with internal and external regulations.
- Provide training and support to the sales team on compliance-related matters.
- Monitor and report on compliance issues and trends within the sales department.
- Collaborate with other departments to ensure a cohesive approach to compliance.
- Investigate and resolve compliance-related issues and complaints.
- Stay up to date with changes in relevant laws and regulations.
- Prepare and present compliance reports to senior management.
- Other compliance tasks to be assigned from time to time
Job Requirements:
- Bachelor’s degree/university degree in law or equivalent qualification
- Minimum 5 years of working experience in sales compliance or similar role in risk management and in financial institutions
- Strong knowledge of sales compliance processes and regulatory requirements.
- Experience in training in sales compliance processes.
- Good presentation and interpersonal skills and skills in Microsoft Excel, Microsoft Words and Microsoft Power Point.
- Team player and able to work independently with minimum supervision.
- Fluent in both spoken and written Bahasa Malaysia and English
