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SENIOR EXECUTIVE, COMPLIANCE (1 POSITION)

 

 

 

Closing Date: 31 August 2020

SENIOR EXECUTIVE, COMPLIANCE (1 POSITION)

OBJECTIVES OF POSITION.

To assist the Head of Compliance in ensuring company’s overall adherence and compliance to all applicable laws, regulations, guidelines and code of conduct.

MAIN RESPONSIBILITIES

· Preparation of daily and weekly compliance monitoring report of clients’ investment placement (Unit Trust and Fund Management).

· To ensure all CMSL and CMSRL are renewed before expiry date.

· Registration of new CMSRL and member of the BOD & Investment Committee and also cessation

· Assist HOD on any upgrading or improvement of compliance monitoring system

· To ensure all reporting documents to SC, FIMM, EPF & MAAM are promptly delivered.

· To assist on revising and ensuring departmental quality procedure & manual are always updated.

· To ensure all staff & directors compliance declaration are in order.

· Conduct CDS Checking on staff on annual basis

· To ensure Unit Trust and Fund Management marketing materials are properly vetted as to comply with all the requirements.

· To assist on training of AMLA, conflict of interest , Cyber Risk & Sec 17 to staff and management and also BOD of ARIM

· To assist the HOD on matters or issues raised by SC, FIMM and Auditor.

· To assist the HOD on the preparation of Compliance report for Risk Management & Compliance Committee Meeting & Investment Committee Meeting.

· Checking new entry Unit Trust Fund Application Form & Client Status

· RbRA AMLA Monitoring & assist in preparing BbRA report to Group Risk

· To assist Unit Trust Marketing Department in the updating submission of the Master Prospectus & Product Highlight Sheet

· Conduct pre audit check on quarterly basis the Unit Trust Fund Application Form on the completeness of documentation

· Updating Compliance internal process flow when instructed by HOD

· Attend and coordinate internal meeting with other Department and CEMC Meeting

· Reporting to HOD on daily basis and monthly basis work done or pending

QUALIFICATION/REQUIREMENTS

· Degree in relevant discipline i.e. Business, Commerce, Finance, Accounting or equivalent.

· Pass Module 9, 10 & 11 from Securities Commission.

EXPERIENCE

· At least 3 – 4 years’ experience in investment bank/asset management/unit trust/trustee company.

SKILLS

· Hardworking, meticulous, open communication and able to work in a team.

· Able to work as a team, flexible, organized, hardworking and committed to work and cultivate knowledge sharing among colleagues.

· Passionate about learning new knowledge and framework and multi-tasking.

· High attention to details and excellent analytical skill.

· Display high commitment to quality and thorough approach to work.

· Able to work under pressure, within agreed target and timescale and deliver quality outcome.

· Knowledge on unit trust and fund management as stipulated in the relevant Guidelines of the SC and Capital Market Services Act.

· Basic Knowledge on AMLA

· Proficient in Bahasa Melayu and English.

 

Interested candidates are invited to apply via EMAIL by submitting COMPLETE resume to:

AmanahRaya Investment Management Sdn Bhd

Human Resources Representative

Level 7, Wisma AmanahRaya

No. 2 Jalan Ampang

Email address: hr@arim.com.my

(Please state the position applied for on the email subject)

Only shortlisted candidates will be notified