Job Description

Salary Market Aligned

Location Kuala Lumpur FULL_TIME

Consultant Madiha MdRidza

Job Ref 1918000/001

Date posted 26 March 2023 kuala-lumpur banking-financial-services/compliance 2023-03-31 2023-05-25 financial-services Kuala Lumpur MY Robert Walters https://www.robertwalters.com.my https://www.robertwalters.com.my/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png true

An exciting Junior Compliance Officer role has just become available in Arcus South East Asia, an asset management firm based in Kuala Lumpur. This is a role for professionals looking to develop a career path in a growing business segment at a leading regional fund manager.

About the Junior Compliance Officer Role:
In this business-critical role, you will need to supervise and facilitate compliance with the regulatory requirements applicable to the regulated activity undertaken by the organisation. You will report directly to the Compliance Officer of Arcus South East Asia but will also have dealings with the compliance teams in other parts of the group.

Key Responsibilities:

Assist with the implementation of the company\'s compliance programme:

• Monitoring and reviewing compliance adherence
• Maintaining regulatory filing calendar to ensure returns of completed & lodged on time
• Preparation and filing of regulatory returns in conjunction with other team members
• Maintaining regulatory compliance record
• Assisting with staff compliance training
• Communicating with staff about changes to compliance legislation (e.g. climate-change risk)
• Pre-market trading compliance and sanctions screening checks
• Reviewing the updates of the fund Prospectus and Offering Memorandum
• Advising and reporting to the Board on compliance matters
• Assisting with Market abuse post-trade surveillance reporting
• Reporting regularly to the parent company, the firm\'s main fund manager, about oversight

Assisting with the day-to-day operation of the company:

• Liaising with regulators and service providers
• Assisting in compilation of proxy voting analysis
• Assisting in completion of due diligence questionnaires
• Assisting in the coordination of corporate audit
• Monitoring broker execution performance
• Carrying out due diligence on new hires and service providers
• Assisting quarterly research budget review, analyst interaction and readership tracking data analysis

To succeed in the role, you will also need to work closely with your London parent company counterpart and assist in the coordination of management accounts with the London-based Arcus Group Financial Controller.

Key Requirements:

• Degree in Accounting, Finance, Business Studies or Law
• Three years of working experience in the securities of financial industry or in any other related industry
• Highly motivated self-starter, strong attention to detail, conscientious and good communication skills

After successful careers in institutional fund management and investment banking, Japan-specialists Mark Pearson and Peter Tasker established Arcus in 1998 to provide investors with a platform for investing in value opportunities in Japan and, more recently, in the rest of Asia.

Arcus now has offices in London, Tokyo, Hong Kong, and Kuala Lumpur. The Malaysian entity, Arcus South East Asia, was set up in 2021 and is licensed and regulated by the Securities Commission Malaysia.

If you are driven, determined and want to take the next step in your career, this is the role for you. Great career progression opportunities await the right person in this Junior Compliance Officer role.

Robert Walters