Investment Firm Compliance Manager/Associate (Big Four Audit experience highly preferred) | Kua[...]

Gough Recruitment; Kuala Lumpur; On-site; MYR 60,000 - 80,000; Full time

Job summary

A leading investment firm is seeking a Compliance Manager/Associate with Big Four audit experience. This role involves regulatory compliance, risk management, and legal advisory within the investment industry. Ideal candidates will possess strong analytical skills, a keen interest in fund management, and the ability to work independently in a fast-paced environment.

Qualifications

• 4-7 years of Big Four Audit/Assurance Experience.
• Strong investigative skills with a meticulous approach to compliance issues.

Responsibilities

• Conduct thorough monitoring of operations and investments.
• Assist in SFC filings and compliance requirements.
• Draft, review, and follow up on investment agreements.

Skills

Analytical

Detail-Oriented

Strong Communication Skills

Education

Degree in Law

Degree in Business

Degree in Accounting

Degree in Finance

Job description

Investment Firm Compliance Manager/Associate (Big Four Audit experience highly preferred)

This role is ideal for candidates with Big Four audit experience who are eager to transition into compliance and legal advisory within the investment industry. Candidates with audit backgrounds will find their risk assessment skills, financial expertise, and regulatory awareness highly beneficial in this transition.

Key Responsibilities:

1. Regulatory Compliance & Risk Management – Conduct thorough monitoring of operations and investments, investigate errors, breaches, and complaints, and implement corrective actions.
2. Regulatory Filings – Assist in SFC filings and compliance requirements across different jurisdictions, supporting licensed activities.
3. Regulatory Research & Implementation – Analyze new regulations impacting the management company and its investment funds, ensuring seamless adaptation and compliance. (Senior candidates will lead implementation.)
4. Compliance Training & Advisory – Develop and deliver internal compliance training, providing expert regulatory guidance to teams. (Senior candidates will drive strategic initiatives.)
5. Fund Documentation & Legal Advisory – Draft, review, and follow up on investment agreements, fund setup documentation, and regulatory filings. (Varies by experience level.)
6. Company Secretarial Duties – Manage corporate governance matters for funds and investment managers.
7. Ad-Hoc Legal & Compliance Support – Handle legal matters relating to fund structures, investment transactions, and compliance frameworks.

Qualifications:

• 4-7 years of Big Four Audit/Assurance Experience: Prior audit experience with fund management firms, private equity, asset managers, listed companies, or corporate finance teams is highly valuable.
• Education: Degree in Law, Business, Accounting, or Finance.
• Analytical & Detail-Oriented: Strong investigative skills with a meticulous approach to compliance issues.
• Industry Passion: Keen interest in fund management, securities regulations, and asset management compliance.
• Self-Starter & Resilient: Ability to work independently in a fast-paced, high-pressure environment while managing tight deadlines.
• Strong Communication Skills: Excellent interpersonal abilities, with fluency in English and Cantonese, and high-level English writing proficiency.

Data collected will be used for recruitment purposes only. Personal data provided by job applicants will be used strictly in accordance with the Personal Data (Privacy) Ordinance. We regret that only the shortlisted candidates will be notified.

For more information about this role, please contact Dohee Kim with your resume at [phone] or [e-mail]

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