The Risk & Compliance teams act as a second line of
defense and are responsible for developing, monitoring and maintaining adequate
controls to identify and mitigate risks, and that client's activities follow
the rules and regulations and complies with the regulatory boundaries and
jurisdictions. This covers Risk and Control, Compliance and Business Continuity
functions within Super Seven Stars group of companies.
The Compliance department covers the Corporate, Listing
and investor Compliance.
Corporate Compliance's missions are to support the company and its employees in complying with applicable laws and regulations and promoting ethical standards in accordance with good corporate governance. This covers amongst others: Insider dealing, Anti- Money laundering, bribery and corruption, fraud and requirements from the Market Abuse Regulation as a listed company. Listing Compliance supervises the on-boarding of and continuous requirements of a listed company in accordance with YSX rules and regulatory requirements.
As Compliance officer you are responsible for the
day-to-day operational compliance activities in surveillance, audit and
investigation to ensure company's activities are compliant and will assist in
carrying out the compliance program in conjunction with individuals from the
other teams as required. You support the company and its employees in complying
with applicable laws and regulations and promoting ethical standards in
accordance with good corporate governance. Ensuring compliance of the company
as a listed company and its employees. You perform reviews of Policies and
upcoming regulations. Analyze statistics and interactions with production teams
on the design of new initiatives.
· Carry out post trade surveillance using existing monitoring tools and systems, and contribute to the development of those tools and systems as required to keep abreast of Market and Regulatory developments.
· Able to analyze data and to develop search queries or alerts to detect certain behavior.
· Keep abreast of current market structure, exchange rules and market abuse regulations, in order to enhance surveillance tool set accordingly.
· Carry out audits and investigations, draft reports, and take follow up action as appropriate. Where required, recommend appropriate enforcement action for Compliance management.
· Investigate the complaints of stakeholders and other referrals in a timely manner.
· Inform and advise stakeholders about company’s Rules.
· Assess and design internal policies in relation to legal framework.
· Inform and advise and train internally on several Compliance related topics.
· Develop and maintain excellent contacts and working relationships with other internal departments and Management.
· Represent Compliance as required.
· Coordinate and cooperate with other Compliance teams to ensure a harmonized approach
· 2+ years financial services industry experience in a Public listed company
· Higher professional or university education in Business, Finance, Economics or related field
· Understanding of the stock exchange Regulatory framework
· Understanding of Exchange traded financial products and markets· Excellent numeracy, analytical and organizational ability
· Excellent written and oral communicative skills in Burmese and English
· Energetic, team player and able to multi-task
· Strong attention to detail