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Compliance Officer

3 weeks ago

Kuala Lumpur, Malaysia PineBridge Investments Full time

We are currently looking for a Compliance professional to join our Malaysia office.

Responsibilities for this position are as follows:
Regulatory/Core compliance:

- Oversee the Malaysia entity to ensure its compliance with local laws and regulations; Monitor regulatory developments, perform gap analysis and advise senior management, Board of Directors and relevant departments of the implications on the company/department. Develop policies and procedures to ensure the company’s compliance with regulatory requirements, such as ESG, outsourcing in relation to fund management companies;
- Provide solution-based advice to company staff/departments on compliance with regulatory requirements;
- Handle regulatory filings, surveys to SC, arrange licensing/representative registration-related matters;
- Implement an effective risk-based compliance monitoring program on adherence to regulatory requirements;
- Conduct staff training on compliance and regulatory issues/requirements;
- Prepare local board paper, internal/group management reporting;
- Lead any regulator inspection and maintain close working relationship with internal and external auditors;
- Facilitate some finance, corporate filings, operations and tax related matters tasks for Malaysia office, as required from time to time.

Investment/Trade Compliance:

- Work closely with the Investment team and Regional & Global ITC team on investment and trade compliance matters for any fund/client related SMA accounts.

Global Centre of Expertise (“COE”) - Distribution, Assurance & Testing and AML:

- Distribution Marketing - Review marketing materials (covering public or private side products) for Malaysia and South Asia to ensure cross border marketing activities complied with local regulatory requirements and be a solid team member of the global distribution COE;
- Assurance and Testing - performed risk-based assurance reviews to detect gaps in policies, testing processes, etc. and provide recommendations for remediation;
- AML - Act as local AML compliance officer and work with Global AML team, ensure KYC documentation is maintained, perform and oversee ongoing AML name screening and transaction monitoring are conducted to comply local/regulatory requirement.

Others and Projects:

- Assist to coordinate and prepare information/documents relating to internal/external audits;
- Participate in any regional or global projects as need.

It would be great if you have:

- Tertiary qualifications;
- At least 5 to 10 years’ compliance experience, risk management or audit experience in the asset management/ financial services industry in Malaysia, preferably with compliance experience;
- Experience in Brunei, Thailand, South Asia regulatory requirements will be a plus;
- Experience and knowledge in StarCompliance, WorldCheck or ACA Alpha will be highly regarded;
- Good command of written and spoken English;
- Good communication and interpersonal skills as this role requires interaction among different regional offices;
- Meticulous, articulate and ability to work independently but good team player;
- Strong organizational and time management skills;
- Strong analytical and problem-solving skills.