Compliance Officer

1 week ago

Kuala Lumpur, Kuala Lumpur, Malaysia Businesslist Full time

Role Description

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This Compliance Officer position requires a proactive attitude, strong problem-solving skills, excellent communication skills, and ability to build strong working relationships with internal teams and external stakeholders.

The successful applicant will have 2 to 6 years of experience in the financial services or investment management industry, a relevant undergraduate degree, and sound decision-making skills.

The Compliance Officer will oversee compliance monitoring, manage licensing requirements, deliver induction training, review investor AML files, and conduct annual due diligence on the fund administrator.

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, update the disclaimer library.
  • Assist with updating compliance matrices.
  • Collaborate with business management on AML/KYC counterparty issues.
  • Conduct vendor and outsourcing due diligence reviews.
  • Maintain employee-related compliance records.
  • Contribute to quarterly compliance reports for management.
  • Assist with year-end regulatory filings and declarations.
  • Monitor and review workflow management tools to ensure completion of compliance tasks.
  • Support ad-hoc compliance projects.

About Us

We are a dynamic and fast-paced organization that offers exposure to various aspects of business compliance across multiple jurisdictions. Our team is supportive, diverse, and team-oriented, valuing passion, hard work, and commitment.

What We Offer

  • Career growth and development opportunities.
  • A challenging work environment with extensive on-the-job training.
  • A collaborative culture that values teamwork and dedication.
  • An impactful role that contributes to key compliance initiatives.

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