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
compliance policies and procedures
education and training programs
reporting and monitoring
investigation procedures
Nice-to-have
culture of ethics and compliance
leadership and coaching
business acumen
problem solving skills
high level of integrity
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