Investment Compliance, Principal

AIA

Kuala Lumpur, Malaysia
Compliance program implementation
Risk assessment program
Policy and procedure development
This position works closely with the Senior Management Team (SMT) of APAM by monitoring and reporting results of compliance/ethics efforts of the Company and providing guidance to the SMT on matters relating to compliance

Job Summary

  • This position works closely with the Senior Management Team (SMT) of APAM by monitoring and reporting results of compliance/ethics efforts of the Company and providing guidance to the SMT on matters relating to compliance.
  • Responsible for managing the Compliance Department for APAM which works as a second line of defense in partnership with the business (as first line of defense) to ensure that all regulatory and market conduct risk is efficiently and effectively assessed, mitigated and controlled.
  • Develop and implement an effective education program through ongoing communication and training to embed a culture of compliance and ethics within the Company.

Matching Summary

This position works closely with the Senior Management Team (SMT) of APAM by monitoring and reporting results of compliance/ethics efforts of the Company and providing guidance to the SMT on matters relating to compliance.

Skills & Requirements

Must-have

  • compliance program implementation
  • risk assessment program
  • policy and procedure development
  • compliance reporting and escalation
  • investigation of policy violations
  • leadership and coaching skills

Nice-to-have

  • culture of ethics
  • solutions-focused advice
  • work under pressure
  • detail-oriented and analytical
  • business acumen

Key Requirements

  • 10 years solid work experience
  • Bachelor’s degree in Accounting, Finance, Law or Business
  • Preferably passed SC Malaysia Licensing Exam Modules
  • In-depth understanding of fund management business

Work Rights

Not specified

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