Executive - Investment Compliance Advisory

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gradmalaysia.com

Kuala Lumpur

MYR 100,000 - 150,000

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Yesterday

Job description

Executive - Investment Compliance Advisory

About the job

JOB SUMMARY

The Executive Investment Compliance Advisory will be assigned to the following job scopes but not limited to:

Ensure that EPF investments align with the organisation's policies and guidelines as well as the regulations issued by applicable investment regulatory authorities.
Ensure EPF’s Chinese Wall policies/procedures are administered appropriately.
Ensure the due diligence/know your client (KYC) requests from EPF’s investment counterparties are attended to and addressed appropriately and in a timely manner.
Provide related reporting to the management and relevant key stakeholders.

JOB RESPONSIBILITIES

Ensure investments made comply with the organisation's policies, guidelines, and applicable investment regulatory requirements for domestic and global investments.
Cover all investment asset classes which consist of:

Global & Domestic Equity
Global & Domestic Fixed Income
Global & Domestic Alternative Investment

Collaborate with the Risk Management Department to understand and align the applicable internal risk limits and the feasibility of monitoring and automation of the relevant rules, including the calculation of the limits and data requirements.

Keep up-to-date on the changes in the investment regulatory landscape and requirements (e.g., disclosure of interest) that are relevant to EPF by performing research and networking with relevant external parties (e.g., custodians, regulators, legal advisors).

Understand and address the regulatory requirements to mitigate compliance risks for EPF, and disseminate relevant regulations to key stakeholders after assessing their applicability to EPF & investment environment.

Ensure the relevant regulatory requirements are addressed appropriately by the relevant stakeholders with proactive engagement and assistance to ensure the requirements can be met, including substantial shareholding, foreign ownership limit/restriction, takeover/merger, etc.

Provide advice and guidance to key stakeholders, such as the investment division, regarding queries related to the compliance of risk limits/MAT and investment regulatory requirements.

Provide strategic guidance to align investment activities with current and future regulatory environments.

Update and maintain the investment compliance repository, which consists of internal risk limits/MAT and applicable investment regulatory requirements for domestic and global investments.

Liaise with the relevant Regulators (or intermediated by Custodians, Legal Advisors) when necessary for regulatory submission and clarification.

Ensure quality, accuracy, and appropriateness of any regulatory compliance submissions to local regulatory authorities.

Ensure notification, disclosure of interest, and reporting to any regulatory authorities are accurate and timely.

Ensure EPF’s Chinese Wall Policy and Procedures are appropriately administered, i.e., review/update the policies & procedures.

Provide necessary advice and guidance to the relevant stakeholders on Chinese Wall Policy and Procedures.

Update relevant databases and enhance the Chinese Wall Administration system as and when required.

Ensure the due diligence/know your client (KYC) requests from EPF’s investment counterparties are attended to and addressed appropriately.

Ensure all the information provided to investment counterparties is complete, accurate, and timely.

Prepare and provide investment compliance reports to the management and stakeholders.

Involve in/manage relevant projects and initiatives (e.g., investment compliance rules development, department-wide process improvements projects).

JOB REQUIREMENTS

Pass Malay Language including oral test at Sijil Pelajaran Malaysia (SPM) level or equivalent as recognized by the Malaysian Government.
Bachelor’s degree in Law, Economics, Finance, Accounting, Investment, or other related qualifications which are recognized by the Malaysian Government from any abroad or local higher learning institution.
At least three (3) years or more of relevant experience in compliance, preferably investment compliance.
Good experience in financial regulatory framework and investment regulations locally and globally.
Well-versed in investment asset classes and types of instruments.
Good experience in Microsoft Office (Word, Excel, PowerPoint, Outlook).
Knowledge or experience in preparing dashboards (e.g., Power BI, Tableau) is an added advantage.
Good analytical skills, meticulous, and able to work independently.
Team player with strong communication and good interpersonal skills.
Results-oriented, fast-paced, resourceful, and proactive.
Resilient and able to deliver under pressure.

PLACEMENT

Investment Compliance & Data Governance Section, Investment Services Department.