Associate/AVP, Compliance

About Maybank Asset Management

Maybank Asset Management is part of the Maybank Investment Banking Group, which has over 40 years of experience in Asia and offers a comprehensive range of financial services, including corporate finance, investment banking, debt and equity capital markets, derivatives, sales and research, and prime brokerage. Leveraging deep regional expertise and the strength of the Maybank Group, Maybank Asset Management is committed to delivering innovative investment solutions and sustainable long-term value for its clients.

Job Description

• Responsible for the overall Compliance and Anti-Money Laundering matters within Maybank Asset Management Singapore

• To undertake compliance monitoring activities within the MAMS as prescribed within the Compliance Monitoring Plan;

• To ensure any issues identified are recorded and correctly escalated and tracked to conclusion;

• To produce reports for submission to Head of Compliance and related subsidiaries;

• To update and review the internal policies/ manuals cascaded from Groupon a periodic basis and to take consideration of any regulatory or business changes, or areas that need to be prioritized;

• To facilitate and conduct regular firm-wide regulatory awareness training for staff;

• To conduct AML/KYC checking and monitoring;

• To monitor, maintain and code investment rules and guidelines in the investment trading system;

• To monitor MAS circulars and regulatory developments and flagging relevant items to the Head of Compliance;

• To work with the Risk Management Department on implementation and review of business processes.

• Managing Regulators, Group Compliance, Auditors, Legal and External Parties

Maintain cordial relationship with regulators.

Ensure successful audit deliverables.

• Responsible for all compliance matters of MAM Singapore

Responsible for all compliance matters in respect to regulatory, investment and general compliance matters as set out in the compliance manual.

• Anti-Money Laundering (AML) responsibilities

Ensure AML policies and procedures are complied within the applicable legislations as well as the required international standards.

• Execution of Group Compliance Strategy

Identifying, recommending and executing group compliance strategies to meet minimum regulatory requirements and compliance standards.

Required Qualifications

• Bachelor degree and/or Masters in Business and industry certification (MICA, FICP to be endorsed).
• Minimum 5 to 8 years of relevant compliance experience in a similar industry.

Competencies

• Compliance responsibilities.
• Anti-money laundering responsibilities.
• Knowledge of World-Check and Bloomberg AIMS (good to have).

We regret that only shortlisted candidates will be notified.