Head of Compliance | Asset Management
World Renowned Asset Manager seeks a Compliance Officer to assist with the build out of investment management capabilities for its office in Malaysia. The role will have Regional coverage and they will relocate candidates with Malaysian regulatory knowledge.
Compliance Officer Role
- Responsible for ensuring the company’s compliance with securities laws, regulations and relevant guidelines
- Liaise with external parties including the regulator and the appointed Shariah Advisor.
- Responsible for preparation/submissions of regulatory reports to the Securities Commission Malaysia.
- Advise and report directly to the Board of Directors and Head of Legal Compliance, Asia Pacific.
- Ensure issues relating to regulatory, ethics, dealing and investment guidelines related compliance are promptly and properly resolved and escalated.
- Provide compliance advisory to the business for activities onshore and on cross border basis into Malaysia.
- Ensure sales and marketing staff, including visitors to Malaysia are appropriately licensed.
Compliance Officer Skills and Requirements
- Familiar with Islamic fund management compliance.
- Passed SC Licensing Examination – Modules 9, 10 11.
- University degree holder/relevant professional or industry qualification
- At least 5 years relevant experience; preferably in compliance or in a control function within financial services (asset management is preferred)
- Experience of running various monitoring programmes
- A good understanding of financial products and how regulations apply
- Familiarity with local regulations and good understanding of doing business rules for different jurisdictions in the region
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