Compliance Manager

7 days ago

Petaling Jaya, Malaysia Areca Capital Sdn Bhd Full time

Review and update the policies and procedures (P&Ps) of the Compliance Manual, AMLA, etc. and monitor the updates of P&Ps of other business units. - Ensure all regulatory reporting is submitted to the regulators on time. - Reviewing and monitoring customers’ transactions, investigating suspicious transactions and reporting suspicious transactions to the Financial Intelligence and Enforcement Department of Bank Negara Malaysia. - Review/monitor portfolios for adherence to regulatory, client requirements and internal policy. - Conduct compliance review on business/functional areas, regulatory guidelines/requirements - Arrange and conduct training and briefing to all new and existing employees on AML/CFT, Anti-Corruption, etc and whenever there are updates in the regulatory requirements and internal policy and procedures that the employees have to adhere to. - Ensure the Company comply with foreign regulations in relation to investment (such as FATCA, Common Reporting Standard (CRS), Financial Action Task Force, and United Nations-backed Principles for Responsible Investment). - To examine and/or investigate irregularities in the Company's operations and to notify and/or consult the trustee and/or the SC, where necessary. - Responsible for the fund structuring and documentation process. This includes the preparation of prospectuses, product highlight sheets, information memorandums, trust deeds and other relevant offerings and constitutive documents of both new and existing collective investment schemes and ensuring that such offering documents are in compliance with the relevant regulations at all times. REQUIREMENTS - Degree/Professional qualification with at least 7 years of work experience in capital markets - Strong interpersonal and communication skills. - Must possess good analytical skills and be able to challenge non-adherence or non-compliance. - Strong knowledge of anti-money laundering, counter-terrorism financing and proliferation financing requirement.
Areca Capital is a private wealth management company focusing in fund management and wealth advisory. We are licensed and registered with the Securities Commission Malaysia and Federation of Investment Managers Malaysia. Since our inception in 2006, we have built a reputation as an innovative and high performing fund manager, winning new clients with our performance track record and exceptional client service qualities. Our services encompass a broad wealth management spectrum - from wealth protection to distribution. We pride ourselves on our professional yet friendly approach. Areca Capital seeks to provide our clients with cost-effective wealth management services and consistent risk-adjusted returns over the long term. Our clients range from individuals to corporates, family and private trusts, foundations and other institutions.
Bachelor's or Equivalent

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