Asset Management

5 days ago

Kuala Lumpur, Malaysia BNP Paribas Full time

**ROLE DESCRIPTION AND PURPOSE**

The person would support the compliance function within BNPP AM Malaysia businesses.

The compliance department will ensure that financial security rules, protection of clients’ interest, professional ethics, prevention of market abuses, and compliance governance are adhered to.

In this function, the officer’s role is to report to the Head of Compliance, Malaysia and assist in performing compliance monitoring on the business functions in the organization.

**KEY RESPONSIBILITIES**
- Seek to ensure that the company abides by the necessary regulatory and group policies/requirements.
- Stay up to date with regulatory and legal changes in the investment management industry and understand how the changes will affect the organization.
- Assist in the execution of an action plan that will ensure that the organization complies with regulations and laws.
- Contributing to the CRMS exercise and conduct control plan testing
- Compile the necessary information required for regulatory reporting, board & local committee reporting; and group reporting
- Monitoring investment activities to ensure they comply with the necessary guidelines/restrictions as well as internal policies.
- As the position ensuring the 2nd level of control as defined in the Financial Security Generic Control Plan;
- To provide a staff training and advisory service to the business on financial security topics (KYC, AML, Sanctions screening)
- To provide a compliance opinion/risk assessment on KYC files and PEP/Sanctions alerts requiring an intervention.
- To perform a second level control per the FS Control plan, to assess and report on the adequacy of the local Financial Security framework
- Conduct 2nd level controls on the compliance domains in accordance to respective control plans covering Professional Ethics, Protection of Client’s Interest, Market Integrity, Regulatory, etc
- Support to the completion of the RCSA exercise as necessary
- To support Head of Compliance on compliance matters of BNPP AM Najmah Malaysia and any other ad hoc projects as necessary

**KEY INTERNAL / EXTERNAL RELATIONSHIPS**
- **Internal**:Global, Regional, & Local Heads for Compliance, Local CEO, Legal team, Investment Risk team, Operational Risk & Control, Operations / Middle
- Offices, Service Providers, Internal Auditors
- **External**: Local regulatory bodies, External Auditors, Industry Associations

**ROLE REQUIREMENTS**

**ESSENTIAL QUALIFICATIONS & EXPERIENCE**
- University graduate in law, accounting or other relevant disciplines. Auditing and regulatory experiences desirable, but not essential.
- Minimum of 2 years of compliance experience in the local market, preferably with an international asset management company.
- Good knowledge of guidelines & regulations affecting the fund management industry
- Team player with good communication skills

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