Manager, Compliance
Hong Leong Asset ManagementPetaling Jaya, Selangor, Malaysia19 hari lalu
Penerangan pekerjaanPossess Bachelor Degree in Banking, Law, Finance, Accountancy or any equivalent. Minimum 7-10 years working experience in compliance, audit and / or regulatory in the capital markets, fund management, or other related financial fields. Conversant with Securities Commission (SC) Malaysia’s requirements and guidelines. Good command in spoken and written English and Malay. Good analytical skills in resolving complex problems. Preferably candidates who possess CMSRL License on Modules 9, 10, and 11, from the SIDC Licensing Exam. Proficiency in Microsoft Office (Word, Excel and PowerPoint).
Hong Leong Asset Management – Damansara, Selangor
Overview
- Maintain and monitor AML / CTF / CPF compliance reviews, Anti-Bribery and Corruption policies, customer risk profiling, sanctions screening, and due diligence checks.
- Escalate issues of non-compliance, prepare STR reports, and collate relevant supporting documents in a timely manner.
- Assist in establishing an effective compliance program by periodically developing and reviewing compliance policies and procedures.
- Facilitate licensing renewals and liaise with the Shariah Advisor on matters related to Shariah compliance.
- Review and submit fund-related documents, ensuring compliance with periodic regulatory filings.
- Prepare compliance reports for both internal and external reporting.
- Coordinate compliance training sessions for business units.
- Monitor and validate transactions from fund managers for their respective funds and / or mandates.
- Set up and execute pre-trade compliance rules within Bloomberg CMGR for funds and mandates.
- Develop close relationships with business units to engender a culture of compliance within the business.
Job Requirements
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Compliance Manager • Petaling Jaya, Selangor, Malaysia