Assistant Manager, Supervision

Federation of Investment Managers Malaysia; Kuala Lumpur; On-site; MYR 90,000 - 130,000; Full time

Benefits offered by this job

Medical education support

Dental

Parking

Vision

Near to MRT station

Flexible working hours

Job summary

The Federation of Investment Managers Malaysia (FIMM) is seeking a Compliance Supervisor to oversee distributors’ and registered persons’ business conduct in Kuala Lumpur, ensuring adherence to SC and FIMM rules. The role involves planning off-site reviews, on-site examinations, PRA and surveillance activities, and reporting trends with corrective actions.

You will work closely with the Head of Department to monitor submissions and notifications to the SC, handle ad-hoc assignments, and help

Qualifications

• Degree in Law, Accounting, Business Administration, Economics, Finance or relevant tertiary qualification.
• Minimum six (6) years related working experience in the regulatory, fund management, unit trust, private retirement scheme, banking or financial institution industries.
• Investment Management, audit or supervisory experience are added advantages.
• Sound knowledge of FIMM’s and SC’s rules and regulations applicable to unit trust schemes and private retirement schemes industry.

Responsibilities

• Supervise Distributors’ and registered persons business conduct to ensure compliance with relevant regulatory requirements issued by FIMM and the Securities Commission Malaysia (SC).
• Plan and conduct/ lead the off-site reviews, on-site examinations, Post Registration Assessment (PRA) and surveillance activities on Distributors and registered persons (where applicable) as assigned by HOD to ensure that their business conduct and sales practices comply with the relevant securities laws, regulations and guidelines in relation to marketing and distribution of unit trust schemes and private retirement schemes.
• Report relevant trends of market practices which are at high risk and non‑compliance with regulations to HOD with proposed actions to be taken.
• Recommend appropriate supervisory actions against non‑compliances identified.
• Assist HOD and/or Manager in monitoring relevant submissions, reporting and notifications to the SC as prescribed in the SRO Guidelines issued by the SC.
• Manage any other ad‑hoc assignments as specified by HOD (where relevant).
• Perks and benefits

Skills

Regulatory knowledge

Audit experience

Supervisory experience

SRO regulations

Education

Degree in Law, Accounting, Business Administration, Economics, Finance or relevant tertiary qualification

Job description

Supervise Distributors’ and registered persons business conduct to ensure compliance with relevant regulatory requirements issued by FIMM and the Securities Commission Malaysia (SC).

Plan and conduct/ lead the off-site reviews, on-site examinations, Post Registration Assessment (PRA) and surveillance activities on Distributors and registered persons (where applicable) as assigned by HOD to ensure that their business conduct and sales practices comply with the relevant securities laws, regulations and guidelines in relation to marketing and distribution of unit trust schemes and private retirement schemes.

Report relevant trends of market practices which are at high risk and non‑compliance with regulations to HOD with proposed actions to be taken.

Recommend appropriate supervisory actions against non‑compliances identified.

Assist HOD and/or Manager in monitoring relevant submissions, reporting and notifications to the SC as prescribed in the SRO Guidelines issued by the SC.

Manage any other ad‑hoc assignments as specified by HOD (where relevant).

Requirements

Degree in Law, Accounting, Business Administration, Economics, Finance or relevant tertiary qualification.

Minimum six (6) years related working experience in the regulatory, fund management, unit trust, private retirement scheme, banking or financial institution industries.

Investment Management, audit or supervisory experience are added advantages.

Sound knowledge of FIMM’s and SC’s rules and regulations applicable to unit trust schemes and private retirement schemes industry.

The Federation of Investment Managers Malaysia (FIMM) was recognised by the Securities Commission (SC) Malaysia as a self‑regulatory organisation (SRO) via a gazette order on 20 January 2011. This empowered FIMM to regulate its own members. As a Self‑Regulatory Organisation, the Federation of Investment Managers Malaysia (FIMM) plays a key role in the development of unit trust industry and actively engages our members to adopt best practices for investor protection. We are seeking passionate, ambitious, highly capable professionals with a drive for excellence to join us for a challenging career.

The Federation of Investment Managers Malaysia (FIMM) was recognised by the Securities Commission (SC) Malaysia as a self‑regulatory organisation (SRO) via a gazette order on 20 January 2011. This empowered FIMM to regulate its own members. As a Self‑Regulatory Organisation, the Federation of Investment Managers Malaysia (FIMM) plays a key role in the development of unit trust industry and actively engages our members to adopt best practices for investor protection. We are seeking passionate, ambitious, highly capable professionals with a drive for excellence to join us for a challenging career.

Perks and benefits

• Medical Education support
• Dental
• Parking
• Vision
• Near to MRT station
• Flexible working hours