Manager/Senior Executive, Compliance

pitchIN

  • Kuala Lumpur
  • Permanent
  • Full-time
  • 1 month ago
About pitchIN:pitchIN is Malaysia's leading digital fundraising and investment platform, registered as a Recognised Market Operator (RMO) with the Securities Commission of Malaysia. We're committed to democratizing access to capital for entrepreneurs and empowering investors to participate in the growth of innovative companies. Our core offerings include Equity Crowdfunding (ECF), Token Crowdfunding (TCF), also known as Initial Exchange Offering (IEO), Malaysia's first public Secondary Trading Market (PSTX) for private company shares and upcoming Peer-to-Peer financing. We facilitate investments across various industries, including Shariah-compliant opportunities.Job Summary:We're seeking a highly motivated and experienced Compliance Manager/Senior Executive to join our dynamic team. This role is crucial in ensuring pitchIN's continued adherence to all relevant regulatory requirements, internal policies, and industry best practices. The successful candidate will play a key role in maintaining our strong compliance framework across all our regulated activitiesand contribute to safeguarding the integrity and transparency of our platform.Key Responsibilities: * Regulatory Compliance:
  • Monitor, interpret, and ensure compliance with all applicable laws, regulations, and guidelines issued by the Securities Commission of Malaysia (SC) for Equity Crowdfunding (ECF), Token Crowdfunding (TCF)/Initial Exchange Offering (IEO), and the pitchIN Secondary Trading Market (PSTX).
  • Keep abreast of changes in the regulatory landscape and advise management on potential impacts and necessary adjustments.
  • Prepare and submit regulatory reports and filings accurately and on time.
  • Policy and Procedure Development:
  • Develop, review, and update internal compliance policies, procedures, and controls to reflect regulatory changes and business developments.
  • Ensure effective implementation of policies, including those related to Anti-Money Laundering (AML), Counter-Financing of Terrorism (CFT), Personal Data Protection Act (PDPA), and risk management.
  • Risk Management & Communication:
  • Identify, assess, and monitor compliance risks across all business operations and investment offerings.
  • Ensure clear communication of investment risks to investors across all campaigns.
  • Advisory & Training:
  • Provide expert compliance advice and guidance to all departments, including business development, operations, legal, and technology.
  • Develop and deliver compliance training programs for employees to foster a strong culture of compliance within the organization.
  • Internal and External Audit Liaison:
  • Act as a key liaison with internal and external auditors, as well as regulatory bodies during examinations and inquiries.
  • Documentation & Record Keeping:
  • Maintain meticulous records of all compliance-related activities, communications, and documentation.
Requirements:
  • Bachelor's degree in Law, Finance, Business Administration, or a related field.
  • Proven experience in a compliance role within the financial services industry, preferably with exposure to capital markets, fintech, or crowdfunding:
  • Senior Executive: Minimum 3-5 years of experience.
  • Manager: Minimum 5+ years of experience
  • Strong understanding of the Malaysian regulatory environment, particularly the Securities Commission of Malaysia's guidelines for capital markets and recognized market operators.
  • Familiarity with Equity Crowdfunding (ECF) and Token Crowdfunding (TCF)/Initial Exchange Offering (IEO) and Peer-to-Peer Financing (P2P) frameworks is highly advantageous.
  • Excellent analytical skills with the ability to interpret complex regulations and translate them into practical policies and procedures.
  • High level of integrity, strong ethical compass, and attention to detail.
  • Exceptional communication, interpersonal, and presentation skills.
  • Ability to work independently and collaboratively in a fast-paced, evolving environment.
  • Proactive, solution-oriented, and able to manage multiple priorities effectively.
Why Join the pitchIN's Team?
  • Innovate and evolve in a pioneering financial technology environment.
  • Collaborate with diverse, talented professionals driven by a passion for enhancing investment access.
  • Be part of a company known for its integrity and transparency
  • Expand your career with opportunities for continuous personal and professional growth.
pitchIN is a digital fundraising and investing platform. We’re registered as a Recognized Market Operator with the Securities Commission Malaysia. We help businesses raise capital and help investors find quality investment deals

pitchIN