Financial Governance Associate

3 days ago


Kuala Lumpur, Kuala Lumpur, Malaysia Businesslist Full time
Job Requirements

We are seeking a Financial Governance Associate to join our team at Businesslist. As a key member of our compliance function, you will be responsible for ensuring adherence to regulatory obligations and safeguarding the organization from non-compliance risks.

Your primary focus will be on managing licensing requirements for business representatives and entities to conduct regulated activities. This involves reviewing investor AML files, resolving queries, and conducting annual due diligence on the fund administrator. Additionally, you will be responsible for delivering induction training to new employees on compliance matters, reviewing marketing materials, updating the disclaimer library, and assisting with quarterly compliance reports for management.

Key Responsibilities:

  • Oversee compliance monitoring across areas such as AML, technology risk management, marketing, conflicts of interest, and employee-specific compliance.
  • Manage licensing requirements for business representatives and entities to conduct regulated activities.
  • Deliver induction training to new employees on compliance matters.
  • Review investor AML files, resolve queries, and conduct annual due diligence on the fund administrator.
  • Review marketing materials and update the disclaimer library.


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