Investment Governance, Consultant
Salary Market Aligned
Location Kuala LumpurFULL_TIME
Consultant Kimmy Khoo
Job Ref 1833210/001
Date posted 28 October 2022kuala-lumpur legal/banking-finance 2022-10-28 2022-12-27 legal Kuala Lumpur MY TELECOMMUTE Robert Walters https://www.robertwalters.com.my https://www.robertwalters.com.my/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
Due to ongoing and excellent success and developments, this leading insurance company is seeking a high-calibre candidate for an Investment Governance, Consultant job. In this job, you will oversee investment governance, investment control, training and development, and incident reporting.
About the Investment Governance, Consultant Role:
This role is responsible for the interpretation of the regulatory requirements, being the first line defence for investment management activities, real estate investments, mortgage and the associated companies.
- Ensure proper documentation and compliance with both external (regulatory) and internal (group and local) requirements
- Draft and implement new investment division related standard and regulatory documents such as investment related policies, guidelines, manuals, processes, and procedures
- Negotiate investment related agreements not limited to ISDA, CSA, GMRA, NDA
- Lead and coordinate the annual review or amendment of investment division related documents
- Review of existing processes and procedures, and propose changes for improvements, as well as introducing new processes and procedures
- Establish and implement the approval process, lead, and coordinate the approval of policies and procedures
- Establish and implement review process of policies and procedures, and conduct quality review
- Liaison with regulators and stakeholders on investment governance related matters such as regulatory related matters e.g. FATCA, DOI
- Coordinate with risk, compliance and legal in interpretation, gaps analysis of new requirement and implementation of new measure to bridge the identified gaps
- Support in monitoring of external fund managers in ensuring compliance to required parameters and restrictions
- Be accountable for the governance and internal controls of investment division’s activities
- Formulate and maintain effective investment management controls monitoring processes to ensure investment management function is in compliance with local regulatory bodies and internally established investment restrictions and requirements by performing monitoring tasks
- Formulate and maintain investment-related rules in Bloomberg AIMS, as well as the processes related to AIMS efficiencies as pre-trade compliance system
- Ensure accurate and timely record-keeping of all trade override and VMGR approvals, and ensuring approvals are done accordingly
- Update and maintain a master record of investment parameters and restrictions, and methods of monitoring - manually or via systems
- Formulate new policies, guidelines, manual, processes and procedures, where applicable in line with group standards and local regulatory requirement, as well as internal policies, processes, procedures and controls documents
- Coordinate the formulation and monitoring of all investment management related forms
- Be the Chief Investment Officer’s designate in approving non-genuine breaches
- Provide awareness training and attestation as per regulatory requirement and formulate training modules
- Collaborate and influence the group investment training module and establish awareness session schedule for the investment division
- Coordinate all incident reporting and handle audit matters till closure
- Be the one-stop point for all incident (errors and breach) reporting for the investment division
- Lead discussions with respective function in identifying root cause and implement new measure to avoid recurrence
To succeed in this Investment Governance, Consultant role, you will need to be strong in supporting the implementation of regulatory and group requirements, able to liaise on investment governance related matters with regulators and other stakeholders and be experienced in certifying that investment policies and investment procedures are in line with regulatory requirements, as well as governance and internal controls.
- Bachelor’s degree in Law, Legal Studies, or equivalent
- At least five years’ experience in investment related functions with insurance industry, asset management companies or banks
- Knowledge in internal audit, compliance, legal, risk management and experience dealing with regulators
- Good understanding in interpreting regulation and implementing internal controls
- Experienced in drafting of legal and regulatory documents relating to investment agreements
- Good working knowledge of Microsoft Excel, Word, PowerPoint and BLOOMBERG AIMs
- Computer skills and is comfortable working with IT or technology-related systems
- Sound project management skills
- Good interpersonal, presentation and communication skills
- Ability to coordinate with various stakeholders
The successful Investment Governance, Consultant will join a company whose expertise has made them the leader in their field. This reputable organisation offers a great working environment in dynamic and well-designed office in Kuala Lumpur.
If you are commercially oriented with a legal background supporting your investment experience, and are process driven and meticulous, this Investment Governance, Consultant role is an excellent opportunity to work with an industry leader that is constantly innovating and growing its business.
Apply now or email your CV to firstname.lastname@example.org today 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
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