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Asset Management Compliance Officer

icon building Syarikat : Rhb Bank Bhd
icon briefcase Jenis Pekerjaan : Sepenuh Masa
icon geo-alt Malaysia

Penerangan Pekerjaan - Asset Management Compliance Officer

  • 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 (“EPF”)’s auditor and Federation of Investment Managers Malaysia (“FIMM”)’s 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.
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