Associate Director, Compliance

1 week ago

Kuala Lumpur, Malaysia Principal Financial Group Full time

**Responsibilities**:
The role is responsible for overseeing area with regards to regulations, drive the implementation and execution of AMLA requirements, and support in the establishment and review of policies and procedures. He or she will also support the team in the various reviews for funds submissions and other reviews to comply with SC regulations.

Job Accountabilities / Key Result Areas:

- Implement and review gap analysis and impact assessment submitted by business units arising from new or revised guidelines as well as internal requirements.
- Ensure a compliant AML framework by facilitating effective and efficient AML processes. Ascertain the implementation and execution of AML regulatory requirements, advisory on enquiries from business, completion of due diligences and questionnaires, acting on requests by regulators and law enforcement officers, submit relevant reporting as required by law and regulation.
- Review cases submitted by business or the transaction monitoring unit to assess rationale and justifications for higher risk accounts. Undertake reporting of STRs where required. Review onboarding accounts and documentation to ensure proper KYC have been undertaken, and ensure all actions of the above are supported by relevant corresponding documents.
- Update the compliance matrix and effectively perform self-testing in the department as well as perform the review, verification and effective monitoring thereto, those submitted by business departments.
- Support in the review of fund-related documents for submission e.g. interim, annual reports including offering documents; monthly, quarterly, semi-annual or annual SC submissions as well as other required regulatory reviews such as promotional materials.
- Support in the review of the policies and procedures by business units to ensure the necessary revisions have been updated to guide the departments’ compliance to rules and regulations effectively.
- Advisory to business units’ enquiries in terms or interpretations of laws and regulations and work closely with legal on the same.
- Support in the effective preparation of compliance reports to Group and Committees.
- Perform other job-related responsibilities and special projects as required, and supporting the same with regards to any high level initiatives undertaken by the company.

Qualifications:

- Bachelor's Degree or equivalent with at least 7 - 10 years working experience
- Certification in AML and/or Compliance certification is a plus
- Experience in compliance for fund management, dealing in securities in relation to unit trust and private retirement schemes will be an added advantage
- Able to engage effectively with internal (colleagues of all levels) and external (regulator, etc.) parties
- Proficiency in English and writing, good communication and presentation skills
- Good with Excel, Word, PowerPoint and in reporting / writing reports

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