Asset Management Compliance Officer
2 weeks ago
Working Hour
- Regular Hours
- Monday - Friday- Business Area
- Compliance- Location
- Malaysia - Kuala Lumpur- Description
**Primary Objective**:
Facilitate and manage non-compliance risk for RHB Asset Management’s activities and operations with relevant laws, rules and regulations as well as guidelines.
**Key Responsibilities**:
- To ensure the Business Division comply with relevant laws, rules, regulations and guidelines on the fund management industry by conducting Compliance Reviews;
- Conduct assigned Compliance Reviews in accordance with the Annual Work Plan;
- Reviewing regulatory submission to the SC via ComRep (XBRL) on monthly, half yearly and annual basis and also, other regulatory body, reviewing the policies and procedures manuals of the company in line with changes in the laws, regulations, guidelines and industry developments.
- Organizing and preparing training materials (e.g. training slides, Learn & Lead) and/or dissemination of information (e.g. new/revised/updates laws, rules and regulations, guidelines and industry or market updates) to all employees of the company / entity.
- Perform reviews on offering document/advertisement and promotional materials as issued by the company/entity;
- Assist the Senior Manager/Superior to compile and provide information during regulatory visits, audits conducted by Employees Provident Fund (“EPF”)’s auditor and Federation of Investment Managers Malaysia (“FIMM”)’s requests;
- Any other responsibilities/ad-hoc assignments as assigned by the Head of Compliance, Asset Management from time to time and ensure timely completion the assignments.
- Requirements
**Requirements**:
Bachelor Degree - Finance, Accounting, Law, Business Studies or equivalent.
- At least some working experience in the related field is required for this position or at least some experiences in unit trust/ fund management industries.Added advantage: Passed Securities Industry Development Corporation (SIDC) Licensing Module 11, Asian Institute of Chartered Bankers (AICB) Certification in Regulatory Compliance or Anti Money Laundering.Additional SIDC Modules 9 and/or 10 are an advantage.
- Microsoft Office
- Good Interpersonal skills
- Good Communication skills
- Benefits
Dental, Education support, Miscellaneous allowance, Medical, Loans, Sports (e.g. Gym), Parking, Vision, Regular hours, Mondays - Fridays, Casual Business Wear, Performance Based Rewards
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