Compliance Assistant Manager

RESPONSIBILITIES • Assist in the implementation, review and update of the Compliance Manual, AMLA, Anti-Bribery and Corruption Manual and other documented internal control measures to meet the changing regulatory requirements. • Review/monitor unit trust funds and private mandates for adherence to regulatory requirements, client requirements and internal policy. • Reviewing and monitoring customers’ transactions, investigating suspicious transactions and reporting suspicious transactions to the Financial Intelligence and Enforcement Department of Bank Negara Malaysia. • Assist in the submission of regulatory reporting. • Review marketing and promotional materials following local regulations. • Conduct compliance review on business/functional areas, regulatory guidelines / requirements • To ensure application and renewal of Company and Fund Managers’ licenses and other regulatory applications are submitted to the Securities Commission Malaysia within the prescribed time. • Providing training and briefings to all new and existing employees 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, United Nations-backed Principles for Responsible Investment). • Advise businesses on ad-hoc compliance matters. • Any other compliance-related issue that may arise from time to time. JOB REQUIREMENTS • Degree/Professional qualification with at least 5 years of work experience in capital markets. • Strong interpersonal and communication skills. • Ability to work independently whilst also capable of being a team player. • Ability to learn quickly and adapt to different working environments. • Understanding of anti-money laundering, counter-terrorism financing and proliferation financing rules and regulation.