Compliance Officer - Continuous Learning Opportunities

YES FINANCIAL BERHAD is a Financial Advisers Firm and Islamic Financial Advisers Firm which is licensed and regulated by Bank Negara Malaysia. We hold Capital Market Service License in Financial Planning, Dealing with Securities limited to Unit Trust and Dealing with Private Retirement Scheme by Securities Commission Malaysia.

Besides, we are also licensed by Federation of Investment Managers Malaysia as CUTA and CPRA Firm. We are also HRDF Training Provider licensed by Pembangunan Sumber Manusia Berhad.

We offer independent holistic financial advice on financial planning services across multiple banking institutions, investment banks, fund managers, corporate trustees, offshore financial institutions, multiple life insurance companies, takaful operators and general insurance companies.

Job Description:

- To provide administrative support to all FARs/ IFARs/Paraplanners & Leaders

- Attend all the queries and calls from FAR, CMSRL, CUTA Rep, AWP, CUTA   Apprentice and Prospect Advisers related to the regulator registration    matters 

- Submit all application form of FAR/ CMSRL/CUTA Representative to Bank      Negara Malaysia (BNM), Securities Commission Malaysia (SC) and  Federation of Investment Managers Malaysia (FIMM)  

- Do background search for the prospect advisers (Eg: bankruptcy search,    CTOS & CCRIS, PTPTN Loan Statement Review, LIAM, PIAM, MTA agent    status) 

- Submit year-end report and related report to BNM, SC and FIMM

- Assist in registration examination of RFP/ CFP modular, RFP Capstone,    MPPP Programme, CUTE, CPRE, Takaful Basic Examination (TBE) and other  related examination for prospect advisers

- Register all the related courses for FAR/ CMSRL/ CUTA Representatives and    monitor their CPD Hours and Membership Renewal Fee

- Apply CPD Hours for internal training courses with SIDC, MFPC, HRDF and    others related association

Qualification & Experience:

• Min Diploma/ Degree Holder in any subjects
• Pleasant personality with excellent communication skills
• A results-oriented self-starter
• Able to work independently with minimum supervision
• Got own transportation 
• Good in time management 
• Fast learner 

Benefits:

• EPF/ SOCSO/ EIS
• Medical Benefit  
• Bonus
• Annual Leave 
• Replacement Leave 
• Sick Leave 
• Maternity Leave