Assistant Manager, Sales Compliance & DRCO

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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