Compliance Officer

About Wahed:

We have a passion to reduce financial inequality and exclusion by building world leading financial products and services aimed at giving access to all. We are a New York headquartered Financial Technology (FinTech) company focused on serving values-based (shariah compliant) digital financial services to retail clients globally, starting with wealth management. We have an impressive global team aligned with this purpose and are looking for trail blazers in their fields that will take our customer delivery to new levels. We can promise you a digital first and truly international culture, as well as a fascinating immersion into the world of FinTech and Islamic finance.

Job Brief:

To plan and implement the compliance functions pertaining to Wahed MYS policies and procedures in line with the securities laws, regulations and guidelines and any other applicable law governing their business activities.

Job Description:

• Assist in establishing and inculcating compliance and risk culture in the organisation.
• Assist in reviewing compliance control programs to ensure effectiveness in the monitoring compliance mechanism to prevent and detect breaches of the securities laws, regulations, and relevant guidelines.
• Assist in undertaking periodic compliance review of the business activities at the Company level including outsourced.
• Assist in developing, implementing, and reviewing the policies and procedures in line with the relevant laws, its regulations and guidelines that governs the business as well as updating and disseminating timely changes to the laws, regulations, guidelines, and policies.
• Assist in providing advisory on company compliance matters including AML/KYC matters.
• Assist in developing/reviewing the key work policy/procedures for the Department from time to time.
• Create and maintain healthy and compliance and risk awareness culture by coordinating and facilitating business continuity knowledge and training programmes.
• Assist in reviewing marketing / promotional materials for the company.
• Assist in managing and monitoring inquiries/complaints from regulators, clients’ / unit holders promptly and ensure they are thoroughly addressed, resolved and/or investigated.
• Assist in preparing reports/papers to the regulators, Fund Trustee & Shariah Adviser, Board Committees and Board of Directors.
• Assist in ensuring risks are mitigated at the department and company level including conducting quarterly risk assessment session for all business risks faced by the company.
• Coordinate BCP related activities, exercise planning, scheduling with business units and testing including pre/post BCP Testing, call tree testing, event analysis is in line with business requirements.
• Assumes additional responsibilities as assigned.

Job Specification

• Good academic qualifications with a minimum degree in Accounting/Financial Management/Economics or a qualified Accountant with more than 5 years working experience preferably in the regulatory, auditing, or financial services sector.
• Possess excellent knowledge of the financial and capital markets. 
• Preferably have undertaken Module 9, 10 & 11 of SC examination. 
• Practical knowledge on the business activities of Wahed and the Group.
• Good communication and presentation skills in English and Bahasa Malaysia, both verbal and written.
• A person with high integrity and a good team leader with analytical, strategic, and lateral thinking.
• A self-starter who is resourceful and systematic with a keen eye for detail.
• A team player.