An exciting Investment Compliance (Consultant) job has just become available at a leading insurance company based in Kuala Lumpur. This is a job for a driven professional who is looking to make lasting impact to the organisation.

About the Investment Compliance (Consultant) Role:
In this business critical role, you will need to ensure that all investment activities carried out by the organisation are in accordance with the organisation’s Investment Governance Framework, the group policies/standards and local regulatory requirements.

Key Responsibilities:

• Conduct investment compliance monitoring according to the Annual Investment Compliance Plan and Investment Compliance Monitoring Procedures to ensure investment activities of funds belonging to the organisation is carried out in accordance with standards, rules and regulations
• Maintain an effective investment compliance restriction monitoring programme utilising Bloomberg Compliance Violations Manager (VMGR) and Bloomberg Transactions Cost Analysis (BTCA) to ensure investment activities are conducted in accordance with regulatory and internal limits
• Review investment-related marketing materials (i.e. Monthly Fund Performance Updates, Fund Fact Sheets, etc.) for Investment-Linked Funds
• Support on automation projects relating to communication surveillance and personal dealing monitoring
• Maintain active liaison with the organisation’s subsidiaries and support the respective compliance teams to implement any Group Investment Compliance initiatives or compliance controls in the local investment process
• Identify and report key risks related to investment activities and make recommendations to mitigate the risks
• Assist to perform compliance reporting to Local Chief Investment Officer, Group Investment Compliance, Investment Committee and other related management committees
• Proactively engage with business and provide advice/guidance to mitigate key compliance risks

To succeed in this Investment Compliance (Consultant) job, you will need to strengthen compliance engagement with the Investment Management staff to educate and increase awareness of regulatory developments and ethics/compliance risks.

Key Requirements:

• Bachelor’s degree in accounting/finance/business/actuarial science/law
• A CFA level certification or at an advanced stage of completion is an added advantage
• Minimum of five years’ work experience in the field of investment/compliance in the fund management/unit trust/insurance industry
• Good understanding of investment compliance and regulatory obligations and their application into business processes
• Working knowledge of Bloomberg Compliance Manager (CMGR) and Bloomberg Transactions Cost Analysis (BTCA) modules
• Strong managerial and leadership skills
• Good communication and people management skills. Self-motivated, independent, sound problem-solving skills
• Proactive, demonstrates initiatives and looks for areas of improvement
• Excellent computer skills i.e. Microsoft Office – MS Word, Excel, PowerPoint
• Good written and spoken communication skills in English
• Strong analytical and presentation skills

This organisation is an exciting addition to the financial services industry. The firm is 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 Investment Compliance (Consultant) job.

Apply today or contact me to discuss this new opportunity.

Do note that we will only be in touch if your application is shortlisted.

Agensi Pekerjaan Robert Walters Sdn Bhd
Business Registration Number : 729828-T
Licence Number : JTKSM 423C