Client Compliance

2 weeks ago

George Town, Malaysia LRI Invest Full time

Description

The Apex Group was established in Bermuda in 2003 and is now one of the world’s largest fund administration and middle office solutions providers. Apex has continually improved and evolved its product suite by surrounding these core administrative services with additional products spanning the full value chain of a fund; from information delivery and regulatory products to fund platforms and tax services. The globally distributed service model has rapidly expanded through a combination of organic growth and more recently bolstered by acquisition. Service is now delivered by over 10,000+ staff across 50+ offices. The Apex Group administers circa $2.3 trillion in assets, including the investments of some of the largest funds and institutional investors in the world

Client Compliance & AML Officer (MLCO, MLRO, DMLRO)

The Role & Key Responsibilities:

- Work with the Compliance team to ensure Apex are compliant with legal and regulatory requirements and best risk/compliance practice.
- Serve as AMLCO, MLRO & DMLRO to the allocated client entities.
- Understand the Cayman AML Regulations and ability and willingness to perform AMLCO, DMLRO and MLRO functions in line with Cayman requirements and relevant international standards, including but not limited to, FATF.
- Ability to identify and summarize any material developments in its business and other activities.
- Understand and be able to consider and advise on maintaining adequate systems to identify risks in relation to persons, countries, business relationships and activities, and to:

- Conduct ongoing monitoring of business relationships or one-off transactions in accordance with the Regulations;
- Conduct transaction monitoring reviews in relation to the fund
- Present any updates or key findings to the Board/ Fund controlling parties
- Consider and make any Suspicious Transaction Reports (STR’s)
- Develop AML & CFT Policies and Procedures
- Develop and prepare AML Business Risk Assessments
- Perform AML & CFT sample testing and AML assurance reviews
- Monitoring the systems and controls (including, without limitation, the AML/CFT Procedures and other documented policies and procedures, in line with the requirements of the Regulations, as amended from time to time)
- Carrying out regular audit of the AML/CFT Procedures and any other policies and procedures used by, or on behalf of, the Company, to adhere to the requirements of the Regulations;
- Maintaining logs, as determined to be necessary, with respect to declined business, politically exposed persons (as such term is defined in the Regulations), and requests from supervisory and competent authorities, particularly in relation to investigations;
- Advising the Board of AML/CFT compliance issues and any issues with respect to the Company Compliance Functions, that require the attention of the Board;
- Reporting at least annually to the Board on the maintenance of the Company Compliance Functions and the Company's compliance with, or compliance on behalf of the Company with (as the case may be), the AML/CFT Procedures; and
- Acting as the main point of contact with the supervisory and other competent authorities in the Cayman Islands in relation to AML/CFT and responding promptly to requests for information.
- Filing a SAR with the FRA in accordance with the Regulations, if deemed appropriate;
- Maintaining a log of all reports of Suspicious Activity (including where the filing of a SAR is not deemed necessary or appropriate);
- Keeping the Board informed of all internal reports of Suspicious Activity and SARs filed with the FRA, to the extent permitted by legislation and regulation;
- Providing assistance as a point of contact for CIMA, and other regulators and law enforcement as applicable and necessary under the applicable legislation and regulation;
- Functioning as the point of contact with CIMA for the purpose of the Regulations; and
- Be able to perform the role of the DMLRO, in discharging the functions of the MLRO, pursuant to the MLRO Services, in the absence of the MLRO.
- Embedding a compliance culture within Apex and through personal engagement with client entity governing bodies / committees.
- Driving forward the development, implementation and embedding of SAR, AML/CFT and associated regulatory policies and procedures, including robust control procedures.
- Responsibility for the client entity screening process and various Compliance registers and reviews (including assisting with new business).
- Assisting with the regulatory aspects of client entity audits.
- Conducting ad hoc reviews and/or special investigations as required.
- Contributing in regular 1:1s, appraisals and development meetings.
- Providing support and direction and sharing examples of best practice with relevant business areas and colleagues.

Skills Required:

- Strong academic background and industry relevant professional qualification.
- In depth knowledge of the Finance industry
- Excellent people

  • Client Compliance

    1 week ago

    George Town, Malaysia LRI Invest Full time

    Description The Apex Group was established in Bermuda in 2003 and is now one of the world’s largest fund administration and middle office solutions providers. Apex has continually improved and evolved its product suite by surrounding these core administrative services with additional products spanning the full value chain of a fund; from information...

  • Compliance and Reporting Expert

    5 days ago

    George Town, Penang, Malaysia Ernst & Young Advisory Services Sdn Bhd Full time

    As a Tax - Global Compliance & Reporting, Manager at Ernst & Young Advisory Services Sdn Bhd, you will play a critical role in delivering high-quality services to clients across various industries.The ideal candidate will have a deep understanding of tax regulations and compliance processes, combined with excellent analytical and problem-solving skills.Your...

  • Global Tax Compliance Specialist

    5 days ago

    George Town, Penang, Malaysia Ernst & Young Advisory Services Sdn Bhd Full time

    Ernst & Young Advisory Services Sdn Bhd seeks a highly motivated Tax - Global Compliance & Reporting, Manager to join our dynamic team.The ideal candidate will have a strong analytical mindset and excellent problem-solving skills, combined with advanced written and verbal communication abilities.In this role, you will be responsible for combining standard...

  • Tax Compliance and Advisory Professional

    4 days ago

    George Town, Penang, Malaysia Forvis Mazars Asia Full time

    Job TitleTransfer Pricing AssociateJob SummaryThe Transfer Pricing Associate will support the team in delivering high-quality transfer pricing services to our clients.Key Responsibilities:Manage client portfolios in the area of transfer pricing.Collaborate with managers, peers, and partners on the delivery of transfer pricing solutions.Support functional...

  • Associate - Governance, Risk & Compliance Services

    2 weeks ago

    George Town, Malaysia KPMG Malaysia Full time

    Associate - Governance, Risk & Compliance Services (Penang branch) **Description**: KPMG, a place where bold, new ideas are welcome and dedication is rewarded, is made up of outstanding people with a broad range of interests, talents and motivations. We invite you to join our team in Penang and to experience the KPMG difference as we continue to be The...

  • Business Compliance Officer

    6 days ago

    Central George Town, Malaysia Ocorian Full time

    Fund services | Corporate | Capital markets | Private client | Regulatory & ComplianceWe help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solve complex challenges faced by asset managers, financial institutions, corporates, high net-worth individuals and family offices.We’re a trusted partner to over...

  • Research Manager

    2 weeks ago

    George Town, Malaysia The Search Group (Global) Limited Full time

    **_The Search Group is a Risk and Research Consultancy Firm with a strong presence globally particularly in Europe and East Asia. Our global clients rely upon us for all levels of enhanced We also assist clients by developing TSG is growing quickly and is looking for a motivated and committed person to join our team and help deliver on our Products and...

  • Consultant - Iso

    2 weeks ago

    George Town, Malaysia Agensi Pekerjaan Elitez Malaysia Sdn Bhd Full time

    _**Responsibilities**:_ - Conduct initial assessments and consultations with clients to understand their specific requirements and objectives. - Collaborate with clients to develop customized management system and ISO certification strategies. - Provide guidance on documentation, process mapping, and procedural improvements to ensure compliance and...

  • Tax Advisory Manager

    5 days ago

    George Town, Penang, Malaysia Ernst & Young Advisory Services Sdn Bhd Full time

    Ey exists to build a better working world, helping to create long-term value for clients, people, and society, and building trust in the capital markets.This is an exciting opportunity for a highly motivated individual to join our team as a Tax - Global Compliance & Reporting, Manager.The successful candidate will have a solid foundation in accounting...

  • Operational Security Analyst

    2 days ago

    George Town, Malaysia Teleperformance Full time

    Overview: Operational Security is responsible for overall compliance (either by direct management or support) to GISP Controls, Client Contractual Requirements, Physical Security, as well as Health & Safety, Fraud Investigations, Operational Support, and ownership of the Teleperformance risk assessment program...

  • Tax Consultant

    2 weeks ago

    George Town, Malaysia Meraki Talent Full time

    Job description Are you a talented tax professional seeking an exciting opportunity to showcase your skills in a dynamic and international environment? Meraki Talent are a leading agency representing a prestigious Big 4 firm in the Cayman Islands, and we are currently seeking a skilled and motivated Tax Consultant to join their esteemed team. **Company...

  • Transfer Pricing Specialist

    4 days ago

    George Town, Penang, Malaysia Forvis Mazars Asia Full time

    Company OverviewMazars is a global leader in audit, tax, financial advisory, accounting, and consulting services. As a member of the Mazars Group, Forvis Mazars Asia is committed to providing clients with exceptional service and support.Job DescriptionThe Transfer Pricing Associate will play a key role in delivering high-quality compliance and advisory...

  • International Tax Professional

    5 days ago

    George Town, Penang, Malaysia Ernst & Young Advisory Services Sdn Bhd Full time

    At Ernst & Young Advisory Services Sdn Bhd, we believe that our people are our greatest asset, and we are committed to creating a workplace where everyone can thrive.This is an exciting opportunity for a highly motivated individual to join our team as a Tax - Global Compliance & Reporting, Manager.The successful candidate will have a solid foundation in...

  • Corporate Secretarial Assistant

    4 weeks ago

    George Town, Malaysia Traq Corporate Services Sdn. Bhd. Full time

    **Responsibilities**: - To assist Company Secretary to maintain statutory records of clients; drafting minutes and resolutions; submission of statutory forms and returns to SSM and any other corporate documentations in compliance with the Companies Act 2016.**Benefits**: - EPF - SOCSO - Annual Leave

  • Sales Manager

    4 hours ago

    George Town, Malaysia MoneyMatch Full time

    To oversee and manage the entire corporate onboarding process at each stage from account acquisition to transaction fulfilment - To strengthen the trust and relationship with the client to grow the market share - To identify key markets for growth and execute on strategy set out by the Head of Corporate Sales - To assist Compliance Team to secure proper...

  • Accountant (Penang) - 2 Years Experiences

    3 weeks ago

    George Town, Malaysia EPS Ventures Sdn Bhd Full time

    **Client Company**:Account firm **Location**:Penang Island **You will play an important role in**: - Review work done by preparer (accounts and financial reports) - Provide guidance to preparer as and when needed - Liaise with clients, bankers, auditors, tax authorities and other statutory compliances - Perform any other ad-hoc duties as and when...

  • Corporate Secretarial Associate

    3 weeks ago

    George Town, Malaysia Singapore Corporate Services (M) Sdn Bhd Full time

    **Job Highlights** - Working with a recognised Accredited Training Organization - Competitive Salary Remuneration Package and Staff Benefit **Responsibilities**: - Assist with the incorporation and registration of Singapore companies - Handle all aspects of client’s company secretarial matters - Assist with customer due diligence (onboarding and ongoing...

  • Facilities Manager

    4 weeks ago

    George Town, Malaysia CBRE Full time

    **Overview** - The purpose of this position is to provide facilities management leadership and support in coordinating S&P Global account administration and completion of multiple functions of office maintenance and operations for the location at Malaysia & remoting at Thailand. **Scope of Responsibility**: - Oversee and manage comprehensive facilities...

  • Audit Associate

    2 weeks ago

    George Town, Malaysia MRI MOORES ROWLAND LLP Full time

    **Requirements & Responsibilities** - Bilingual in English and Mandarin - Deliver quality external auditing services to clients - Plan engagements and audit strategies to comply with professional standards (Singapore Financial Reporting Standards) - Provide independent verification of clients' compliance with accounting principles - Develop and maintain...

  • Personalized Investment Consultant

    1 day ago

    George Town, Penang, Malaysia FE Planning Sdn Bhd ( representing AIA BHD AIA PUBLIC TAKAFUL ) Full time

    About UsFE Planning Sdn Bhd is a leading provider of comprehensive financial planning services in Malaysia. As a representative of AIA BHD / AIA PUBLIC TAKAFUL, we are dedicated to helping our clients live healthier, longer, and better lives.Our Mission:To provide comprehensive financial planning services that meet the unique needs of each individual.To...