Investment Compliance, Consultant

AIA Hong Kong; Kuala Lumpur; On-site; MYR 150,000 - 200,000; Full time

Job summary

A leading financial services company in Kuala Lumpur is seeking a Compliance Officer to support regulatory risk management and compliance programs. The role requires a Bachelor's degree and 5 years of experience in compliance within the financial industry. Key responsibilities include implementing compliance education programs and regular communication with compliance matters. Offers a chance to build a career enhancing community health.

Qualifications

• 5 years of work experience in the financial industry handling compliance and/or controls.
• In-depth understanding of fund management business and regulatory developments.
• Good written and spoken communication skills in English and local language.

Responsibilities

• Support the implementation of APAM's Compliance Program focused on AML and market conduct compliance.
• Implement an education program to embed a culture of compliance.
• Communicate compliance matters including reporting to the Compliance Officer.

Skills

Interpersonal and communication skills

Analytical skills

Leadership and coaching skills

Problem solving skills

Education

Bachelor’s degree in accounting, Finance, Law or Business

Job description

About the Role

Responsible to provide support to the registered Compliance Officer of APAM and work as a second line of defense in partnership with the business (as first line of defense) to ensure that all regulatory and market conduct risk is efficiently and effectively assessed, mitigated and controlled and that a culture of ethics and compliance is developed and maintained in respect of the organization’s business in support of APAM’s profitability and sustainable growth objectives.

Roles & Responsibilities

• Implementation of compliance program

• Support the implementation and ongoing enhancement of APAM's Compliance Program that is focused on Anti-Money Laundering (AML), regulatory, investments, product and sales (market conduct) compliance, whilst ensuring its alignment with business objectives, AIA Group Operating Principles and Group Compliance's strategic direction.
• Support the implementation of an effective compliance risk assessment program for APAM and engage with key business stakeholders.

• Implementation of culture of compliance and ethics programs

• Implement an effective education program through ongoing communication and training to embed a culture of compliance and ethics within APAM.

• Reporting and monitoring (as second line of defense)

• Responsible for the effective communication of compliance matters including timely and accurate reporting and/or escalation of such matters in accordance with relevant reporting and escalation protocols, including regular reporting to the registered Compliance Officer of APAM on compliance risk, issues and activities.

• Responsible to perform compliance reviews on business units, departments and branches/sales offices.

• Support the development of structural approach and procedures to effectively deal with suspected instances of compliance policy violations by employees and/or fraud and misappropriations by intermediaries, from receiving allegations to planning and conducting investigations.

• Others

• Perform other responsibilities and duties periodically assigned by the supervisor/APAM Compliance Officer in order to meet operational and/or other requirements.

Minimum Job Requirements

• Bachelor’s degree in accounting, Finance, Law or Business with 5 years solid work experience in the financial industry handling compliance and/or controls.
• Preferably passed Module 9 (Funds Management Regulation), Module 10 (Asset and Funds Management) and Module 11 (Fundamentals of Compliance) of Securities Commission Malaysia Licensing Examination.
• In-depth understanding of the fund management business and regulatory development, in lieu of financial services.
• Good interpersonal and communication skills and self-motivated.
• Good written and spoken communication skills in English and local language.
• Independent and be able to work under pressure.
• Be organized, detail-oriented and analytical.
• Possess leadership, coaching and influencing skills; business acumen; problem solving skills.
• High level of integrity and take ownership and accountability of results.

Build a career with us as we help our customers and the community live Healthier, Longer, Better Lives.

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