An exciting Compliance Manager job has just become available at a reputable asset management firm Kuala Lumpur. You will be responsible for ensuring compliance with rules, codes and professional standards while overseeing client's interests.

About the Compliance Manager Role:
You will be tasked to ensure compliance with requirements stipulated in the Guidelines on Islamic Fund Management and any relevant SC regulations.

Key Responsibilities:

• Keep abreast of changes to securities laws, regulations and relevant guidelines, and relevant industry developments, and ensure timely dissemination of information pertaining to such changes and developments within the company.
• Work closely with the Board and senior management personnel on all compliance matters and liaise with other departments/divisions to discharge the duties and functions effectively
• Establish a compliance programme and carrying out an annual review of the said programme
• Assist in establishing and maintaining a comprehensive compliance manual
• Review and update such compliance policies and procedures, and compliance manual in line with changes in the laws, regulations, and guidelines, etc.
• Ensure that personnel undertaking regulated activity are appropriately licensed
• Ensure that processes and procedures are in place to deal with client's complaints in a fair, timely and effective manner
• Trade Surveillance – Monitor via OBI the best execution and order allocation on instruments executed by the trading team
• Market Abuse Alerts – Monitor via Actimize, then review and treat the alerts

The successful Compliance Manager is someone that is able to coordinate the company's compliance efforts and act as liaison person with the Securities Commission and any other relevant regulatory authorities.

Key Requirements:

• Minimum of five years of experience as a Compliance Officer.
• Preferably professionals holding the position as Compliance Officer in a fund management set-up
• Completed the SC modules 9, 10 and 11

This organisation is a leading corporation in the financial services industry and holds themselves to the highest standards of ethical behaviour and professional conduct.

If you are looking for opportunities for career advancement, this is the role for you. Great career progression opportunities await the right person in this Compliance Manager job.

Apply today or email me at khalil.rashid@robertwalters.com.my 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