Salary + Attractive Benefits
Location Kuala LumpurFULL_TIME
Consultant Anthony Lim
Date posted 14 September 2018 2018-09-142018-11-09 financial-services Menara 3 Petronas Persiaran KLCC Kuala Lumpur 50088 Robert Walters Malaysia
An exciting Compliance Manager role has just become available with a globally established Fund Management firm based in Kuala Lumpur. Reporting directly to the Global Compliance Director based in their Singapore regional headquarters, this is a role for an Experienced Funds Compliance that is a qualified Registered Compliance Officer with SC to join their Global Compliance function, managing the Malaysian compliance operations.
About the Compliance Manager Role:
In this business-critical role, you will be responsible for initiating compliance process, policies and procedure for Malaysia with minimal oversight, working closely with senior management of the Malaysian business units. In addition, you will have opportunities to work with other members across EMEA and APAC on various compliance projects and initiatives to support the business partners, and you will be managing a local junior Compliance specialist to perform the duties in a timely and efficient manner.
- Use compliance risk assessments, establish Compliance Programmes (including forensic testing, where applicable), reporting and escalating material matters to boards of directors and/or senior management
- Provide advice to senior management and staff on applicable laws, regulations, rules, standards and “best practices”. Coordinate and consult with the legal department on the interpretation of law, as necessary
- Annually identify, document and assess the compliance risk applicable to each regulated entity and its business activities. The Compliance Risk Assessment may be updated more frequently due to regulatory actions, changes to the business or due to the results of compliance testing
- Establish and develop relationships with regulators and industry bodies, coordinate regulatory examinations and fulfil statutory responsibilities such as the role of Registered Compliance Officer, Money Laundering Reporting Officer or local equivalent
- Prepare and compile various entities’ and funds’ regulatory compliance reports to regulators, auditors and/or clients accurately
- Assist senior management in educating staff on compliance matters, including, but not limited to, the provision of training on compliance laws, rules and standards
- Develop Compliance and risk management initiatives that support Franklin’s corporate priorities regularly
- Participate and do presentation to local Corporate Governance Committees
To succeed in this Compliance Manager role, you will need to have the ability to work effectively and co-operatively with stakeholders of various level, internally and externally, and across borders.
- Possess at least a Bachelor’s degree with minimum eight years' relevant work experience in one or more of these areas: Compliance, Internal Audit in Fund Management industry and/or Broker-dealer Sectors, External Audit
- Possess good knowledge of unit trusts and wholesale funds, separate account management, superannuation funds and other similar investment products is required
- Strong knowledge of the local Malaysian regulatory regime (i.e. Securities Commission, Bursa Malaysia, Bank Negara, etc) with fluency in written and spoken English due to the need for interaction with stakeholders across different countries, other Asian languages would be desirable
- Possess strong analytical skills, ability to multitask, prioritising work and experience managing regulatory agencies & junior staff
- Completion of SIDC modules, such as M9, M10 and M11 certification is required
- Potential overseas travelling is required
This globally established Fund Management firm is dedicated to deliver strong results and exceptional service to its clients, staffs and business partners. The firm needs no introduction and is well-known in their field of expertise. The culture is demanding but if you are confident and have a can-do attitude the potential rewards are significant. The firm is also very focused on developing and training their people to the highest standards.
If you are driven, determined and want to take the next step in your career, this is the role for you. Great career progression opportunities await the right person in this exciting Compliance Manager role.
Apply today to discuss this new opportunity.
Agensi Pekerjaan Robert Walters Sdn Bhd
(formerly known as Robert Walters Sdn Bhd)
Business Registration Number : 729828-T
Licence Number : JTK2125
Agensi Pekerjaan Robert Walters Sdn Bhd (formerly known as Robert Walters Sdn Bhd) Business Registration Number : 729828-T Licence Number : JTK2125