Compliance Officer / Executive

Astute Fund Management Berhad; Kuala Lumpur; On-site; MYR 30,000 - 60,000; Full time

Job summary

An established industry player is seeking a Compliance Officer to join its dynamic Compliance & Risk Management Department. This role involves assisting in compliance management, monitoring regulatory changes, and conducting compliance reviews. The company values open communication and consensus building, offering a supportive environment for professional growth. With flexible working hours and opportunities for training and development, this position is perfect for individuals passionate about compliance and looking to make a significant impact in the financial sector.

Benefits

Flexible working hours

In-house training opportunities

External training opportunities

Potential for department transfer

Job rotation

Qualifications

• 1-3 years of experience in Compliance within capital markets or financial industries.
• Completion of SIDC Examination modules is an advantage.

Responsibilities

• Assist the Head of Compliance on all compliance matters.
• Monitor updates to laws and regulations for compliance management.
• Conduct compliance reviews and prepare risk assessments.

Skills

Compliance Management

Analytical Skills

Communication Skills

Interpersonal Skills

Critical Thinking

Education

Tertiary Degree in Compliance

Relevant Professional Qualification

Job description

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Astute is a growing fund management company with a culture of open communication, consensus building, and partnership among its members.

We are looking for candidates to fill the following position of Compliance Officer/Executive – Compliance & Risk Management Department.

Company Profile

Astute Fund Management Berhad ("Astute") was formerly known as Apex Investment Services Berhad. Established in 1997, it 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), allowing the distribution and dealing in third-party unit trust funds.

Astute actively invests in the Malaysia and Asian stock markets, with significant fixed income and money market investments.

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

It manages 8 equity unit trust funds: 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 also manages 1 money market fund, Astute Dana Al-Kanz.

Roles and Responsibilities

• Assist the Head of Compliance on all compliance matters and liaise with relevant personnel to ensure effective compliance management.
• Monitor updates and changes to laws, regulations, guidelines, and industry compliance trends.
• Assist in implementing, reviewing, and updating compliance manuals and internal control measures to meet regulatory requirements.
• Assist in preparing and reviewing Risk Assessments for Compliance and Risk Management.
• Conduct compliance reviews to ensure operational adherence to regulations, report findings, and follow up on remedial actions.
• Prepare applications for Securities Commission approval, such as appointments of key management.
• Provide regular compliance training to staff and advise on ad-hoc compliance issues.
• Handle other compliance-related tasks as they arise.

Requirements

• Possess at least a tertiary degree or relevant professional qualification in Compliance.
• 1-3 years of experience in Compliance within the capital market or similar financial industries.
• Completion of SIDC Examination modules relevant to responsibilities is an advantage.
• Excellent communication, presentation, and interpersonal skills.
• Ability to work effectively in a team, manage stakeholders, and work independently.
• Strong analytical, critical thinking, and detail-oriented skills.
• Quick learner and adaptable to different work environments.
• Interest and experience in compliance are encouraged to apply.

What We Offer

• A decision-making style based on consensus building.
• Open culture and meritocracy.
• Flexible working hours options.
• In-house and external training opportunities.
• Potential for department transfer and job rotation.
• Investment experience.

Location

Our office is located in Damansara Heights, within 3 minutes’ walk from Semantan MRT Station.