Investment Compliance, Principal

Aaifire

Compliance program implementation
Risk assessment and mitigation
Regulatory and market conduct risk
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 and mitigation
  • regulatory and market conduct risk
  • ethics and compliance culture
  • policy and procedure development
  • compliance reporting and escalation

Nice-to-have

  • leadership and coaching
  • business acumen
  • problem solving skills
  • detail-oriented and analytical
  • work under pressure

Key Requirements

  • Bachelor’s degree in Accounting, Finance, Law or Business
  • 10 years solid work experience in financial industry
  • Securities Commission Malaysia Licensing Examination Modules 9, 10, 11 preferred
  • In-depth understanding of fund management business

Work Rights

Not specified

Tailored Resume

Cover Letter