Manager, Compliance

2 days ago

Kuala Lumpur, Kuala Lumpur, Malaysia Hong Leong Asset Management Bhd Full time 100,000 - 120,000 per year

Job Responsibilities

  • Assist the Head of Compliance ("HOC") to provide continuous training to Compliance staff and business units on compliance related matters;
  • Assist the HOC to prepare compliance reports for both internal and external reporting;
  • Assist the HOC to manage effective management of the Company's compliance risk and the Company's Compliance Policy is being observed by staff;
  • Advise management of the company on matters relating to compliance with regulatory requirements, including notification of any regulatory changes impacting its operation in a timely manner;
  • Act as a contact point with regulators as well as within the Company for compliance queries from staff members;
  • Assist the HOC to ensure establishment of effective compliance program, supervise and review all ongoing compliance assignments to ensure assignments are conducted in accordance with the Compliance Programmes and completed within specified timelines;
  • Conduct compliance reviews and monitoring in accordance with the compliance programme and stipulated timelines and prepare compliance reports;
  • Conduct compliance reviews to ensure business units adhere to regulatory requirements and the Company's policies and procedures;
  • Conduct compliance reviews to ensure AML/CFT compliance;
  • Escalate issues of non-compliance to the Head and line management timely;
  • Assist to develop and review related Compliance Policies and Procedures; and
  • Develop close relationship with business unit to engender a culture of compliance within the business.

Job Requirements

  • Possess Bachelor Degree in Finance, Business Studies, Law or other equivalent.
  • Minimum 7 years of relevant experience in compliance related field, preferably in unit trust industry.
  • Well versed with all rules and regulations applicable to the capital market industry.
  • Professionally competent to assess industry rules.
  • Good analytical skills in resolving complex problems.
  • Good communication and report writing skills.
  • Proficiency in MS Office.

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