Compliance Assistant Manager

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Responsibilities

• Assist in the implementation of and review and update of the Compliance Manual, AMLA, Anti-Bribery and Corruption Manual and other documented internal control measures to meet the changing regulatory requirements.
• Review/monitor unit trust funds and private mandates for adherence to regulatory requirements, client requirements and internal policy.
• Reviewing and monitoring customers’ transactions, investigating suspicious transactions and reporting suspicious transactions to the Financial Intelligence and Enforcement Department of Bank Negara Malaysia.
• Assist in the submission of regulatory reporting.
• Review marketing and promotional materials following local regulations.
• Conduct compliance review on business/functional areas, regulatory guidelines/requirements.
• Ensure application and renewal of Company and Fund Managers’ licenses and other regulatory applications are submitted to the Securities Commission Malaysia within the prescribed time.
• Providing training and briefings to all new and existing employees whenever there are updates in the regulatory requirements and internal policy and procedures that the employees have to adhere to.
• Ensure the Company complies with foreign regulations in relation to investment (such as FATCA, Common Reporting Standard (CRS), Financial Action Task Force, United Nations-backed Principles for Responsible Investment).
• Advise businesses on ad-hoc compliance matters.
• Any other compliance-related issue that may arise from time to time.

Requirements

• Degree/Professional qualification with at least 3 years of work experience in capital markets.
• Strong interpersonal and communication skills.
• Ability to work independently whilst also capable of being a team player.
• Ability to learn quickly and adapt to different working environments.
• Understanding of anti-money laundering, counter-terrorism financing and proliferation financing rules and regulations.

About Areca Capital

Areca Capital is a private wealth management company focusing on fund management and wealth advisory. We are licensed and registered with the Securities Commission Malaysia and the Federation of Investment Managers Malaysia.

Since our inception in 2006, we have built a reputation as an innovative and award-winning fund manager, winning new clients with our performance track record and exceptional client service qualities.

Our services encompass a broad wealth management spectrum – from wealth protection to distribution. We pride ourselves on our professional yet friendly approach.

Areca Capital seeks to provide our clients with cost-effective wealth management services and consistent risk-adjusted returns over the long term. Our clients range from individuals to corporates, family and private trusts, foundations and other institutions.

Perks and benefits: Medical, Dental, Group Hospitalisation Insurance, Group PA, Miscellaneous Allowance.