Asset Management Compliance Officer

To ensure the Business Division complies with relevant laws, rules, regulations, and guidelines on the fund management industry by conducting Compliance Reviews:

• Conduct assigned Compliance Reviews in accordance with the Annual Work Plan;
• Perform review on Investment and Operations areas such as reviewing the daily Net Asset Value of unit trust funds, asset allocation and investment restrictions, checking and clearing breaches in Violation Manager, sending e-mail to fund managers to notify on the breaches and subsequently, incorporated in monthly Compliance Report to the Board of Directors report.
• Review regulatory submissions to the SC via ComRep (XBRL) on a monthly, half-yearly, and annual basis and also, other regulatory bodies, reviewing the policies and procedures manuals of the company in line with changes in the laws, regulations, guidelines, and industry developments.
• Organize and prepare training materials (e.g., training slides, Learn & Lead) and/or dissemination of information (e.g., new/revised/updates laws, rules and regulations, guidelines, and industry or market updates) to all employees of the company/entity.
• Perform reviews on offering documents/advertisements and promotional materials as issued by the company/entity;
• Assist the Senior Manager/Superior to compile and provide information during regulatory visits, audits conducted by Employees Provident Fund (“EPF”)’s auditor and Federation of Investment Managers Malaysia (“FIMM”)’s requests;
• Any other responsibilities/ad-hoc assignments as assigned by the Head of Compliance, Asset Management from time to time and ensure timely completion of the assignments.