Compliance Manager

Compliance Manager

Job Description
  • The role is responsible for implementation of Compliance and AML/CFT program and managing the full range of matters related to compliance, governance, AML/CFT, compliance risk assessment, STR related investigations and compliance/AMLCFT training.
  • The compliance Officer reports to the CEO and General Counsel Singapore on on-going compliance status and on any findings of infringements and its recommended actions.
  • The Compliance Officer provides regulatory advisory relating to BNM guidelines to all compliance related enquiries form business units/ member offices.
  • Compliance Officer acts as Money Laundering Reporting Officer (MLRO) to submit Suspicious Transaction Report (STR) to Bank Negara Malaysia (BNM).
Job Responsibilities

Company Regulatory Compliance and AML/ CFT

  • Ensure compliance to relevant laws, regulation and guideline in particular AML/CFT, KYC, PDPA, CRS and anti-bribery, as well as their implementation across the Company
  • Ensure proactive and timely identification, assessment, advice and dissemination of evolving regulatory change/ practices throughout the Company across the region (with a focus on Malaysia)
  • Maintain appropriate relationships with relevant regulators and authorities and proactively engage with them, in particular connection with reporting, review finding, and implementation of corrective measure to migrate any identified risks
  • Continuously assess compliance risk and recommend measure to address them
  • Conduct internal compliance reviews on client due diligence/ KYC in accordance with anti-money laundering and counter-terrorist financing regulations and policies
  • Update and implement the Group compliance policies, manuals, procedures, systems and control mechanisms in line with current compliance regulations and best practices
  • Establish, enforce and maintain effective processes (Including training and development of appropriate supporting tools) to ensure that compliance policies, procedures and standards are effectively implemented across the company and ensure corresponding appropriate communicate and training
  • Report to Senior Management and General Counsel Singapore, on compliance risks and issues
  • Provides regulatory advisory to all compliance related enquiries form business units /member offices relating to client acceptance
  • Liaison with BNM on compliance related matters
  • Coordinate compliance activities of the various business units to ensure timely reporting of information
  • Undertake investigations in accordance with the Company’s policies and prepare investigation reports as required. Provide guidance to stakeholders concerned in regard to the follow-up actions, and monitor the closure of follow-up actions

Training Provision

  • Conduct new employee orientation trainings on the Company’s standard of business conduct, know your customer policies, anti-money laundering, personal data protection, anti-corruption and other compliance related topics
  • Prepare relevant training materials as required
  • Develop an annual compliance training calendar in line with Annual Compliance Risk Profile
  • Partner with HR to ensure timely completion of the compliance training by all employees in each annual cycle; monitor the closure of follow-up actions

    People Management Activity

    • Liaise with Regulators
    • Liaise with Internal and External Auditors
    • Liaise with Management
    • Liaise with General Counsel Boardroom Limited
      Requirements
      • Degree in law, business, finance or compliance related disciplines
      • Minimum 3 to 5 years of relevant experience within the Management Advisory/ Financial Services/ Investment industries
      • Experience in a compliance function, preferably gained from accounting, corporate secretarial, management services, banking/ financial services and shared services firms
      • Extensive regulatory knowledge (AML/CFT, CRS, PDPA, KYC guidelines, etc.)
      • Experience in background check such as AML/CFT screening, KYC/CDD, applications
      • Experience in performing Risk Assessment
      • Good interpersonal, influencing and networking skills
      • Ability to work independently as well as good team player
      • Knowledge of Microsoft Office such as Excel, Word and PowerPoint
      • Ability to multi-task and stay focused on the big picture while addressing daily issues
      • Ability to identify problems and issues and apply problem solving skills to provide solutions
      • Ability to prioritize work and meet deadlines

      Regional Operations & Risk Manager

      Regional Operations & Risk Manager

      Job Description

      The Operations & Risk Manager reports to the Regional Operations Director / Group Risk Director to assist in managing all aspects of Group Risk and delivering Operational Projects across the region (i.e. Singapore, Malaysia, Hong Kong, China and Australia).

      Job Responsibilities

      Risk Management

      • Support the design, implementation, maintenance and improvement of Risk Management policies and framework, and corresponding process for the firm
      • Support management with any aspect of Risk Management’s development and oversee key Risk Management training initiatives within their respective Country.
      • Work with Business Unit Heads to identify, develop, communicate and manage Enterprise and Operational Risk across the firm
      • Work with Compliance to proactively identify trends and emerging threats within the regulations that impact the firm
      • Manage the Risk Register on CAMMs relating to their respective countries.
      • Ensure all Risk incidents are reported promptly and accurately with sufficient detail by working with the relevant Heads.
      • Resolve all audit findings relating to Risk Management
      • Deliver RM-related training and communication when appropriate.
      • Maintain and administer Boardroom’s Risk Management System

      Business Continuity Management

      • Work with IT and the relevant Heads in developing and maintaining business continuity plans to limit risks

        Personal Data Protection

        • Support the design, implementation, maintenance and improvement of Personal Data Protection policies and framework, and corresponding process
        • Work with relevant Heads and Data Protection Officers (DPOs) to ensure compliance to data protection policies
        • Act as secretariat for all Data Protection Committee meetings

          Operational Audit 

          • Work with auditors to prepare operational audit reports

          Insurance 

          • Work with relevant BU / SU to ensure adequate insurance coverage

            Group Support

            • Support Regional Operations Director on Group projects, analysis and deliverables as assigned
            Requirements
            • Degree in commerce, economics, law, business, finance or related disciplines
            • 3 – 5 years working experience in Risk Management
            • Exposure to regional operations
            • Familiarity with Risk Management
            • Familiarity with Business Continuity
            • Familiarity with Audit Framework
            • Familiarity with Operation Process

            In-House Search Consultant

            In-House Search Consultant

            Job Responsibilities
            • Responsible to manage end-to-end cycle of headhunting assignment (Advertisement, candidate shortlisting, interviewing, selection and presenting to Regional Director of HR & Admin)
            • Work closely with Hiring Manager to understand their recruitment needs so as to find the right fit
            • Provide recruitment support, including scheduling interviews, checking references, processing background checks, and candidate applications
            • Manage job postings on job portals (LinkedIn, Jobstreet, etc)
            • Manage the recruitment process through the interview stage to the offer stage and beyond
            • Maintain a strong network with Candidates
            • Other ad hoc duties assigned by Regional Director of HR & Admin
            Attitude
            • Able to work in fast-paced environment and handle pressure well
            • Enthusiastic, results-oriented and able to work independently
            • Positive, self-motivated and results-oriented individual who enjoys working in a team-driven, fast-paced environment
            • Demonstrate a sense of urgency and work well under pressure as an individual as well as in a team
            • Enjoy the role of networking, connecting, meeting, calling and speaking with people
            • You are organised, detailed orientated and can draft articulate and professional emails
            Requirements
            • Candidate must possess at least a Primary/Secondary School/SPM/”O” Level, Diploma, Advanced/Higher/Graduate Diploma, Bachelor’s Degree, Post Graduate Diploma, Professional Degree, any field
            • Required skill(s): pleasant personality, with excellent organisational, prioritising skills, analytical thinking
            • Required language(s): Bahasa Malaysia, Mandarin, English
            • At least 5 year(s) of working experience in the related field is required for this position
            • Preferably Senior Managers specializing in Human Resources or equivalent
            • Full-Time position(s) available

            Senior IT Executive (Network)

            Senior IT Executive (Network)

            Job Responsibilities
            • Managing and monitoring all installed network appliances, systems, and related infrastructure (cloud and on-premise).
            • Installing, configuring, testing, and maintaining network-related operating systems, applications / software / management tools.
            • Ensuring the highest levels of network connectivity and infrastructure availability.
            • Provide expertise for the overall network systems infrastructure and its support as it relates to all IT technologies.
            • Troubleshooting, diagnosing, and resolving hardware, software, and other network and system problems.
            • Monitoring network usage and health status in compliance with security policies.
            • Perform preventive maintenance.
            • Identifying IT security vulnerabilities in the organization’s network.
            • Developing and implementing a comprehensive plan to secure organization’s IT infrastructure and networking.
            • Keeping up to date with IT security standards and threats development.
            • Creating system guidelines and manuals for the organization.
            • Assist in IT audit or certification process.
            • Responsible for local organization data security and personnel security internal control, drive employee awareness training and compliance standards for the company.
            • Coordinate and/or perform penetration testing and patching
            • Participate in other projects/tasks as assigned.
            Requirements
            • Minimum of an Advance Diploma or equivalent in Computer Science / Information Systems / Information Technology.
            • At least 4 years of working experience in related field.
            • Based in KL, but willing to travel within Malaysia.
            • Having experience in deployment/support/management for mainstream industry solutions will be added advantage. (Cisco, HPE Aruba, Fortinet, Checkpoint, Ruckus, Citrix etc)
            • CCNA certified. Certifications such as ITIL, CEH, or other technical qualifications are preferred.
            • Project management, process and tools improvement.
            • Excellent knowledge of Firewall/IPS/WAF and monitoring tools.
            • Excellent knowledge of TCP/IP-based services.
            • Exceptional analytical and conceptual thinking skills.
            • Excellent documentation skills.

            IT Executive

            IT Executive

            Job Responsibilities
            • Provide level 1 technical and IT operational supports to end-users. Manage and support the company’s IT infrastructure and service desk services.
            • Serve as the first point of contact for users seeking technical assistance over the phone, email, or service desk management system.
            • Active Directory account creation, termination, and management.
            • O365 Administration – Email account management, OneDrive, Microsoft Teams, SharePoint, PowerShell, etc.
            • Support, monitor, upgrade, and maintain the computer systems and IT infrastructure.
            • Troubleshoot system and network problems, diagnosing and solving hardware and software faults.
            • Provide IT-related administrative support including IT procurement, billing, IT maintenance agreement renewal, and IT asset management.
            • Coordinate with internal/regional teams and vendors to resolve reported incidents and service requests.
            • Manage and coordinate with end-users for system access, change request, UAT, and Production instance deployment.
            • Assist in requirement gathering, analysis, development, and implementation of IT solutions.
            • Manage planned maintenance and system backup processes.
            • Assist in IT audit and/or certification reviews.
            • Assist in IT documentation that includes IT processes/workflow diagrams, standard operating procedures, guides, etc.
            • Ensure all duties are carried out according to the department’s Standard Operating Procedures (SOPs).
            Requirements
            • Minimum of a Diploma or equivalent in Computer Science / Information Technology.
            • Proficient and ands-on experience in Microsoft Operating System, Office 365 with intermediate server and network knowledge.
            • Hands-on experience in Virtualization (Hyper-V and VMware) is an advantage, but not compulsory.
            • Hands-on experience in Linux is an advantage.
            • Familiar with IT Service Management systems – ManageEngine ServiceDesk Plus, Jira, ServiceNow, Remedy.
            • Minimum 1 year of relevant experience in providing service desk IT support.
            • IT hardware and software end-user technical supports
            • Microsoft Windows Server operating system platforms
            • IT asset and inventory management
            • Basic Users & Computers, Security Group Active Directory administration
            • Managing incidents and requests including business expectations and communication

            Manager, Tax Services

            Manager, Tax Services

            We invite highly motivated, dynamic professionals with relevant experience to join our Malaysia Tax practice.

            Boardroom Business Solutions Sdn Bhd assists our clients with their tax compliance obligations. Equipped with a sound knowledge of various industries and intricacies of local tax laws, our tax practice works closely with our clients to identify and deliver tax planning ideas and advice that offer value to their businesses.

            Job Responsibilities
            • Develop an in-depth knowledge of existing and potential clients, their industry and key contacts to maintain a pipeline of leads
            • Meet prospective clients and ensure fee proposals and all follow-through is completed from “cradle to grave” process.
            • Responsible for overall client servicing and ensuring that commitment to clients are followed up in a timely manner.
            • Perform high-level review and provide value-add to the work to be submitted to clients.
            • Maintain good client relationship with close client communication, in order to assess customer satisfaction for possible improvements and identify possible expansion of services.
            • Identifying and advising clients on their tax compliance issues
            • Managing a team of tax professionals
            Requirements
            • Possess a University degree and/or post-graduate qualification in Accounting, Finance, Business.
            • Have strong research and report writing skills and an analytical mind.
            • Be outward-looking, people-oriented with great communication skills.
            • Be strong organizational, multi-tasking, time management skills and with strong sense of responsibilities.
            • At least 7 years professional accounting experience with a minimum of 2 years’ experience in a managerial capacity.

            Corporate Secretarial Senior Executive

            Corporate Secretarial Senior Executive

            Job Responsibilities
            • Provide good client service ensuring clients receive prompt responses to requests and queries (eg. emails within 2 working days and letters/exercises within 3 to 5 working days, Minutes of Meetings within 2 weeks).
            • Review and ensure that statutory books are in order and updated for their portfolio of clients.
            • Review statutory documents and forms and oversee preparation and co-ordination of statutory books and documents.
            • Follow-up with client on the return of documents and forms and ensuring submission of statutory forms and documents to the Companies Commission of Malaysia, Securities Commission and Bursa Malaysia within the stipulated deadline.
            • Remind clients on deadline of holding Annual General Meeting for their portfolio of clients.
            • Ensure all communications with clients are supported by e-mails, outlining agreed action steps, responsibilities and deadlines.
            • Liaise with auditors in preparation for and during annual audits. Attend to auditors’ queries on behalf of clients.
            • Ensure prompt billing and responsible for WIP and answer for write-offs. Ensure that the team of staff work within the budget set for each job.
            • Follow-up on outstanding debt to ensure prompt payment by clients.
            • Be a team player and provide leave cover for fellow team members.
            • Encouraged to take initiatives in proposing work improvements within the department and make business development recommendations. Such initiatives will be considered and evaluated.
            • To provide support beyond secretarial work as and when required by Management.
            Requirements
            • Minimum 4 years of relevant and related CS experience
            • Degree in Corporate Administration, Business Administration, or other related disciplines
            • ICSA
            • Strong written and verbal communication skills
            • Good knowledge of Listing Requirements, Companies Act, Capital Market and Securities Act, procedures and guidelines
            • Strong Microsoft Office skills (especially Word) and knowledge of View Point
            • Good client servicing skills and strong problem solving skills
            • Good organizational skills
            • Good interpersonal skills
            • Pro-active, willing to offer new suggestions and share knowledge
            • Ability to be flexible and adaptable in working styles
            • Meticulous, organized, detailed and deadline-oriented
            • Ability to prioritize work and meet deadlines
            • Ability and willingness to take on duties outside job specification
            • Ability to work both in a team environment and independently

            Corporate Secretarial Executive

            Corporate Secretarial Executive

            Job Responsibilities
            • Provide good client service ensuring clients receive prompt responses to requests and queries (eg. emails within 2 working days and letters/exercises within 3 to 5 working days, Minutes of Meetings within 2 weeks).
            • Review and ensure that statutory books are in order and updated for their portfolio of clients.
            • Review statutory documents and forms and oversee preparation and co-ordination of statutory books and documents.
            • Follow-up with client on the return of documents and forms and ensuring submission of statutory forms and documents to the Companies Commission of Malaysia, Securities Commission and Bursa Malaysia within the stipulated deadline.
            • Remind clients on deadline of holding Annual General Meeting for their portfolio of clients.
            • Ensure all communications with clients are supported by e-mails, outlining agreed action steps, responsibilities and deadlines.
            • Liaise with auditors in preparation for and during annual audits. Attend to auditors’ queries on behalf of clients.
            • Ensure prompt billing and responsible for WIP and answer for write-offs. Ensure that the team of staff work within the budget set for each job.
            • Follow-up on outstanding debt to ensure prompt payment by clients.
            • Be a team player and provide leave cover for fellow team members.
            • Encouraged to take initiatives in proposing work improvements within the department and make business development recommendations. Such initiatives will be considered and evaluated.
            • To provide support beyond secretarial work as and when required by Management.
            Requirements
            • Minimum 2 years of relevant and related CS experience
            • Degree in Corporate Administration, Business Administration, or other related disciplines
            • ICSA
            • Strong written and verbal communication skills
            • Good knowledge of Listing Requirements, Companies Act, Capital Market and Securities Act, procedures and guidelines
            • Strong Microsoft Office skills (especially Word) and knowledge of View Point
            • Good client servicing skills and strong problem solving skills
            • Good organizational skills
            • Pro-active, willing to offer new suggestions and share knowledge
            • Ability to be flexible and adaptable in working styles
            • Meticulous, organized, detailed and deadline-oriented
            • Ability to prioritize work and meet deadlines
            • Ability and willingness to take on duties outside job specification
            • Ability to work both in a team environment and independently

            Corporate Secretarial Assistant (Open for Fresh Graduate)

            Corporate Secretarial Assistant (Open for Fresh Graduate)

            Main Responsibilities
            • Generate and prepare documents and forms required for their portfolio of clients.
            • Ensure that statutory books are in order and updated for their portfolio of clients.
            • Follow-up with client on the return of documents and forms and ensuring submission of statutory forms and documents to the Companies Commission of Malaysia, Securities Commission and Bursa Malaysia within the stipulated deadline.
            • Remind clients on deadline of holding Annual General Meeting for their portfolio of clients.
            • Draft all communications with clients for review in a timely manner (eg. emails within 2 working days and letters/exercises within 3 to 5 working days, Minutes of Meetings within 2 weeks).
            • Retrieve and provide documents, files and information for auditors on behalf of clients.
            • Be a team player and provide leave cover for fellow team members.
            • Encouraged to take initiatives in proposing work improvements within the department and make business development recommendations. Such initiatives will be considered and evaluated.
            • Experienced Assistants are expected to liaise and respond to clients’ requests and queries regarding corporate secretarial matters. To seek Manager’s clearance for technical advisory.
            • Experienced Assistants are expected to provide good client service when dealing with clients.
            • To provide support beyond secretarial work as and when required by Management.
            Requirements
            • From Fresh Graduates to up to 2 years of relevant and related CS experience.
            • Degree in Corporate Administration, Business Administration, or other related disciplines
            • ICSA
            • Strong written and verbal communication skills
            • Good knowledge of Listing Requirements, Companies Act, Capital Market and Securities Act, procedures and guidelines
            • Strong Microsoft Office skills (especially Word) and knowledge of View Point
            • Good interpersonal skills
            • Ability to be flexible and adaptable in working styles
            • Meticulous, organized, detailed and deadline-oriented
            • Pro-active, willing to offer new suggestions and share knowledge
            • Ability to prioritize work and meet deadlines
            • Ability and willingness to take on duties outside job specification
            • Ability to work both in a team environment and independently

            Corporate Secretarial Internship

            Corporate Secretarial Internship

            Job Responsibilities
            • Assist in the provision of company secretarial support services to corporate clients
            • Assist in the preparation of relevant documents relating to secretarial matters such as Annual General Meetings; transfer of shares; changes in board of directors; increase in share capital; changes in bank signatories, etc
            • Assist in the preparation of resolutions, minutes, statutory records and filling
            • Assist to draft or prepare correspondences such as emails, letters, circulars, etc.
            • Research and develop knowledge of Companies Act 1965, Listing Requirements, Malaysian Code on Corporate Governance and other relevant Securities Commission guidelines
            • To undertake other assigned tasks and duties whenever required
            Requirements
            • Candidate must possess or currently pursuing a Bachelor’s Degree in Business Studies / Administration / Management or equivalent.
            • Positive attitude and willingness to learn
            • Good communication and interpersonal skills
            • On the job training provided
            • 5 working days
            Internship Location
            • Petaling Jaya (Selangor)
            • Johor Bahru (Johor)
            • George Town (Penang)
            • Kuantan (Pahang)
            • Ipoh (Perak)

            Interested candidates are invited to apply online or write in with a detailed resume (including your internship date, duration and internship location) to BRMY-HRAllStaffs@boardroomlimited.com