Compliance Officer / Senior Executive

ASTUTE FUND MANAGEMENT BERHAD; Kuala Lumpur; On-site; MYR 65,000 - 95,000; Full time

Benefits offered by this job

Medical

Flexi Working Hours

Birthday Leave

Group Insuran

Job summary

Astute Fund Management Berhad is seeking a Compliance Officer/Senior Executive to support the Head of Compliance in Damansara Heights. The role involves monitoring regulatory changes, updating internal manuals, and preparing risk assessments to ensure regulatory adherence across the organization.

You will conduct compliance reviews, escalate non-compliance issues, and provide ad‑hoc compliance guidance. The position offers training, a meritocratic environment, and potential transfer within

Qualifications

• Candidate must possess at least a tertiary degree in a related field or have obtained the relevant accredited professional qualification in Compliance.
• 2–4 years of working experience in Compliance within the capital market industry or similar fields in financial institutions.
• Completion of SIDC Examination modules relevant to the scope of responsibilities will be an added advantage.
• Possess excellent communication, presentation and interpersonal skills.
• Ability to work effectively in a team and manage stakeholders.
• Possess analytical skills, critical thinking and detail-oriented.
• Ability to work independently, whilst also capable of being a team player.
• Ability to learn quickly and adapt to different working environments.
• Experience in investing is encouraged to apply.
• A decision-making style based on consensus building
• Open culture and meritocracy
• 3 choices of flexible working hours
• In-house and external training
• Opportunity to transfer to a different department and job rotation

Responsibilities

• To assist the Head of Compliance on all compliance matters as well as liaise with personnel responsible for ensuring compliance within the departments/divisions in order to discharge the duties and functions effectively.
• Monitor updates and changes to laws, regulations, guidelines and compliance trends within the relevant industries;
• Assist in the implementation of and review and update the business’ compliance manuals and other documented internal control measures to meet the changing regulatory requirements;
• Assist in preparing /reviewing Risk Assessments for Compliance and Risk Management.
• Conduct compliance reviews to ensure that the company’s operations comply with regulatory requirements. Highlight findings to the HOD concern and follow up on the remedial action. Escalate issues of non‑compliances to the Head of Compliance timely.
• Prepare the following applications but not limited to the following for the Securities Commission approval: Appointment of new key management or any other applications where applicable from time to time.
• Provide regular trainings to staff to raise awareness on compliance-related matters;
• Advise businesses on ad‑hoc compliance matters;
• Any other compliance related issue that may arise from time to time.

Skills

Organized

Interpersonal skills

Willing partner

Resulted-oriented

Deadline-oriented

Education

Tertiary degree in related field

Job description

Compliance Officer/ Senior Executive – Compliance & Risk Management Department

Astute Fund Management is seeking dynamic, motivated, and driven individuals to support the critical work within our reconciliations team. Whether you’re an experienced professional in a similar role, or looking for a new challenge, or recent graduate eager to begin your career in financial services, this could be the opportunity you’ve been waiting for.

Key Attributes We Value

• Organized, resourceful, meticulous, and a fast learner
• Strong interpersonal, managerial and willing partner
• Resulted-oriented
• Ability to meet deadlines

ROLES AND RESPONSIBILITIES

To assist the Head of Compliance on all compliance matters as well as liaise with personnel responsible for ensuring compliance within the departments/divisions in order to discharge the duties and functions effectively.

• Monitor updates and changes to laws, regulations, guidelines and compliance trends within the relevant industries;
• Assist in the implementation of and review and update the business’ compliance manuals and other documented internal control measures to meet the changing regulatory requirements;
• Assist in preparing /reviewing Risk Assessments for Compliance and Risk Management.
• Conduct compliance reviews to ensure that the company’s operations comply with regulatory requirements. Highlight findings to the HOD concern and follow up on the remedial action. Escalate issues of non‑compliances to the Head of Compliance timely.
• Prepare the following applications but not limited to the following for the Securities Commission approval: Appointment of new key management or any other applications where applicable from time to time.
• Provide regular trainings to staff to raise awareness on compliance-related matters;
• Advise businesses on ad‑hoc compliance matters;
• Any other compliance related issue that may arise from time to time.

REQUIREMENTS

• Candidate must possess at least a tertiary degree in a related field or have obtained the relevant accredited professional qualification in Compliance.
• 2– 4 years of working experience in Compliance within the capital market industry or similar fields in financial institutions.
• Completion of SIDC Examination modules relevant to the scope of responsibilities will be an added advantage.
• Possess excellent communication, presentation and interpersonal skills.
• Ability to work effectively in a team and manage stakeholders.
• Possess analytical skills, critical thinking and detail-oriented.
• Ability to work independently, whilst also capable of being a team player.
• Ability to learn quickly and adapt to different working environments.
• Experience with the relevant compliance field and keen interest are encouraged to apply.
• A decision-making style based on consensus building
• Open culture and meritocracy
• 3 choices of flexible working hours
• In-house and external training
• Opportunity to transfer to a different department and job rotation
• Experience in investing

Location

Our office is at Damansara Heights and is within 3 minutes’ walk from Semantan MRT Station.

Be part of a growing fund management company with an open, merit‑based culture.

Perks and benefits

• Medical
• Flexi Working Hours
• Birthday Leave
• Group Insuran

Astute Fund Management Berhad ("Astute") was formerly known as Apex Investment Services Berhad. It was established in 1997 and has provided fund management services to investors for over 25 years. Astute is a licensed unit trust management company and asset management company. It is also an Institutional Unit Trust Adviser (IUTA) which allows the Company to distribute and deal in third-party unit trust funds.

Astute actively invests in the Malaysia and the Asian stock markets. In addition, the Company has significant fixed income and money market investments.

Astute is regulated by Securities Commission Malaysia (SC) and Federation of Investment Managers Malaysia (FIMM).

The Company manages 8 equity unit trust funds. These funds are Astute Malaysia Growth Trust, Astute Quantum Fund, Astute Dynamic Fund, Astute Dana Al Sofi-I, Astute Dana Al Faiz-I, Astute Dana Aslah, Astute Asian (Ex Japan) Fund and Astute Maximiser Dividend Fund. It manages 1 money market fund, namely Astute Dana Al-Kanz.