Assistant Manager, Stock Broking Compliance (Financial Institution)

Open Position: Assistant Manager, Stock Broking Compliance (Financial Institution)


One of the Financial Institutions in Malaysia is currently hiring for Assistant Manager, Stock Broking Compliance to join them in the Kuala Lumpur office.


Key responsibilities include:

  • Responsible for leading and managing the stock broking compliance functions, policies and standards including governance and ongoing due diligence with the Investment banking
  • Liaise with external parties including regulators such as Bank Negara, Security Commission on compliance-related matters
  • Monitor and review stock broking procedures to ensure compliances are met within the regulatory guideline
  • Promote awareness and conduct training sessions to internal teams as well as providing compliance consultations to the business units
  • Responsible for the formulation, development and review the compliance policies and procedures
  • Having professional certifications in would be added advantage
  • A team player with being able to work in a face-paced environment would be added advantage


If you are interested in this position, please share your updated CV with for a confidential discussion.


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Please take note that only shortlisted candidates will be notified.


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BTC Recruitment Malaysia is a registered company under the name Agensi Pekerjaan BTC Sdn Bhd.

(Company No. 1248936-P)

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9, Jalan PJS 8/9,

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