Manager, Compliance

Hong Leong Asset Management; Petaling Jaya; On-site; MYR 80,000 - 120,000; Full time

Job summary

A financial services company in Petaling Jaya is looking for a Compliance Officer to assist in developing and managing compliance programs. The role requires a Bachelor's degree in Finance, Business Studies, Law, or equivalent, along with a minimum of 7 years in compliance, ideally within the unit trust industry. Responsibilities include training staff on compliance matters, preparing reports, and ensuring adherence to regulatory requirements. Strong analytical and communication skills are essential for this position.

Qualifications

• Minimum 7 years relevant experience in compliance, preferably in unit trust.
• Well-versed with capital market industry regulations.
• Professionally competent to assess industry rules.

Responsibilities

• Assist the Head of Compliance in training staff on compliance matters.
• Prepare compliance reports for internal and external communications.
• Manage effective compliance risk and ensure adherence to the Compliance Policy.
• Advise management on compliance regulatory requirements.
• Serve as contact point for regulators and internal compliance queries.
• Conduct compliance reviews according to stipulated timelines.

Skills

Analytical skills

Communication skills

Report writing skills

Education

Bachelor Degree in Finance, Business Studies, Law or equivalent

Job description

Hong Leong Asset Management – Damansara, Selangor

Responsibilities

Assist the Head of Compliance (“HOC”) to provide continuous training to Compliance staff and business units on compliance related matters;

Assist the HOC to prepare compliance reports for both internal and external reporting;

Assist the HOC to manage effective management of the Company’s compliance risk and the Company’s Compliance Policy is being observed by staff;

Advise management of the company on matters relating to compliance with regulatory requirements, including notification of any regulatory changes impacting its operation in a timely manner;

Act as a contact point with regulators as well as within the Company for compliance queries from staff members;

Assist the HOC to ensure establishment of effective compliance program, supervise and review all ongoing compliance assignments to ensure assignments are conducted in accordance with the Compliance Programmes and completed within specified timelines;

Conduct compliance reviews and monitoring in accordance with the compliance programme and stipulated timelines and prepare compliance reports;

Conduct compliance reviews to ensure business units adhere to regulatory requirements and the Company’s policies and procedures;

Conduct compliance reviews to ensure AML/CFT compliance;

Escalate issues of non-compliance to the Head and line management timely;

Assist to develop and review related Compliance Policies and Procedures; and

Develop close relationship with business unit to engender a culture of compliance within the business.

Qualifications

Possess Bachelor Degree in Finance, Business Studies, Law or other equivalent.

Minimum 7 years of relevant experience in compliance related field, preferably in unit trust industry.

Well versed with all rules and regulations applicable to the capital market industry.

Professionally competent to assess industry rules.

Good analytical skills in resolving complex problems.

Good communication and report writing skills.