Job Description

Working Hour Regular Hours
Monday - Friday



Business Area Compliance



Location Malaysia - Kuala Lumpur










Description

Primary Objective:

Facilitate and manage non-compliance risk for RHB Asset Management\xe2\x80\x99s activities and operations with relevant laws, rules and regulations as well as guidelines.
Key Responsibilities:

• To ensure the Business Division comply 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.
• Reviewing regulatory submission to the SC via ComRep (XBRL) on monthly, half yearly and annual basis and also, other regulatory body, reviewing the policies and procedures manuals of the company in line with changes in the laws, regulations, guidelines and industry developments.
• Organizing and preparing 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 document/advertisement 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 (\xe2\x80\x9cEPF\xe2\x80\x9d)\xe2\x80\x99s auditor and Federation of Investment Managers Malaysia (\xe2\x80\x9cFIMM\xe2\x80\x9d)\xe2\x80\x99s requests;
• Any other responsibilities/ad-hoc assignments as assigned by the Head of Compliance, Asset Management from time to time and ensure timely completion the assignments.

Requirements
Requirements:
Bachelor Degree - Finance, Accounting, Law, Business Studies or equivalent.

• At least some working experience in the related field is required for this position or at least some experiences in unit trust/ fund management industries.Added advantage: Passed Securities Industry Development Corporation (SIDC) Licensing Module 11, Asian Institute of Chartered Bankers (AICB) Certification in Regulatory Compliance or Anti Money Laundering.Additional SIDC Modules 9 and/or 10 are an advantage.

• Microsoft Office
• Good Interpersonal skills
• Good Communication skills

Benefits
Dental, Education support, Miscellaneous allowance, Medical, Loans, Sports (e.g. Gym), Parking, Vision, Regular hours, Mondays - Fridays, Casual Business Wear, Performance Based Rewards