Associate Director, Compliance

7 days ago

Tun Razak Exchange, Malaysia Principal Financial Group Full time

**Responsibilities**:
**AML Regulatory Compliance & Governance**
- Conduct gap analyses and impact assessments based on new or revised AML guidelines and internal requirements.
- Review and update business unit policies and procedures to ensure regulatory compliance.
- Provide advisory support on regulatory interpretations in collaboration with Legal.

**AML Framework & Risk Management**
- Maintain and enhance the AML framework to ensure compliance with AMLATFPUAA and other regulations.
- Evaluate suspicious transactions and escalate STRs (Suspicious Transaction Reports) when necessary.
- Initiate and monitor Enhanced Customer Due Diligence (ECDD) processes, ensuring SLA adherence.
- Lead the annual review of transaction monitoring criteria and report updates to the AML Committee.

**AML Transaction Risk Monitoring**
- Review high-risk account cases and onboarding documentation to ensure proper KYC procedures.
- Oversee transaction monitoring activities and report status to the AML Committee.
- Stay updated on regulatory developments and ensure monitoring processes remain robust and effective.

**Internal Controls & Testing**
- Maintain the compliance matrix and conduct departmental self-testing.
- Review and verify compliance monitoring activities submitted by business units.

**Documentation & Regulatory Submissions**
- Support the review and submission of fund-related documents (e.g., interim/annual reports, offering documents).
- Ensure compliance in promotional materials and regulatory filings (monthly, quarterly, etc.).

**Reporting & Advisory**
- Prepare compliance reports for Group and Committees.
- Respond to regulatory and law enforcement requests and complete due diligence questionnaires.

**Projects & Strategic Initiatives**
- Lead or participate in compliance-related projects and high-level initiatives as assigned.

Qualifications:

- Bachelor's Degree or equivalent with at least 8 to 10 years of working experience in AML Compliance within the Financial Services industry
- Certification in AML and/or Compliance certification
- Experience in compliance for fund management, dealing in securities in relation to unit trust and private retirement schemes will be an added advantage
- Strong stakeholder engagement skills (with both internal and external stakeholders, i.e. regulators)
- Able to communicate and present effectively
- Proficient in English and writing, good communication and presentation skills
- Proficient in Microsoft Office: Excel, Word, PowerPoint

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