Executive | Investment Compliance Advisory

JOB SUMMARY

The Executive Investment Compliance Advisory will be assigned to the following job scopes but not limited to:

• Ensure that EPF investments align with the organisation & policies and guidelines as well as the regulations issued by applicable investment regulatory authorities.
• Ensure EPF’s Chinese Wall policies/procedures are administered appropriately.
• Ensure the due diligence/ know your client (KYC) requests from EPF’s investment counterparties are attended to and addressed appropriately and in a timely manner.
• Provide related reporting to the management and relevant key stakeholders.

JOB RESPONSIBILITIES

• Ensure investments made are complying to organisation & policies, guidelines, and applicable investment regulatory requirements for domestic and global investments.
• Cover all investment asset classes which consist of:

• i. Global & Domestic Equity
• ii. Global & Domestic Fixed Income
• iii. Global & Domestic Alternative Investment

• Collaborate with Risk Management Department to understand and align the applicable internal risk limits and the feasibility of monitoring and automation of the relevant rules, including the calculation of the limits and data requirements.
• Keep up-to-date on the changes in the investment regulatory landscape and requirements (e.g. disclosure of interest) that are relevant to EPF by performing research and networking with relevant external parties (e.g. custodians, regulators, legal advisor).
• Understand and address the regulatory requirements to mitigate compliance risks for EPF, and disseminate relevant regulations to key stakeholders after assessing their applicability to EPF & investment environment.
• Ensure the relevant regulatory requirements are addressed appropriately by the relevant stakeholders with proactive engagement and assistance to ensure the requirements can be met, including substantial shareholding, foreign ownership limit/ restriction, takeover/ merger, etc.
• Provide advice and guidance to key stakeholders, such as the investment division, regarding queries related to the compliance of risk limits/ MAT and investment regulatory requirements.
• Provide strategic guidance to align investment activities with current and future regulatory environments.
• Update and maintain investment compliance repository which consists of internal risk limits/ MAT and applicable investment regulatory requirements for domestic and global investments
• Liaise with the relevant Regulators (or intermediated by Custodians, Legal Advisor) when necessary for regulatory submission and clarification.
• Ensure quality, accuracy and appropriateness of any regulatory compliance submissions to local regulatory authorities.
• Ensure notification, disclosure of interest and reporting to any regulatory authorities are accurate and timely.
• Ensure EPF’s Chinese Wall Policy and Procedures are appropriately administered, i.e. review/update the policies & procedures.
• Provide necessary advice and guidance to the relevant stakeholders on Chinese Wall Policy and Procedures.
• Update relevant database and enhance Chinese Wall Administration system as and when required.
• Ensure the due diligence/ know your client (KYC) requests from EPF’s investment counterparties are attended and addressed appropriately.
• Ensure all the information provided to investment counterparties is complete, accurate and in a timely manner.
• Prepare and provide investment compliance reports to the management and stakeholders
• Involve in/ manage relevant projects and initiatives (e.g. investment compliance rules development, department-wide process improvements projects).

JOB REQUIREMENTS

• Malaysian citizen.
• Pass Malay Language including oral test at Sijil Pelajaran Malaysia (SPM) level or equivalent as recognized by the Malaysia Government.
• Bachelor’s degree in Law, Economics, Finance, Accounting, Investment or other related qualification which is recognized by the Malaysian Government from any abroad or local higher learning institution.
• At least three (3) years or more of relevant experience in compliance, preferably investment compliance.
• Good experience in financial regulatory framework and investment regulations locally and globally.
• Well versed in investment asset classes and types of instruments.
• Good experience in Microsoft Office (Word, Excel, PowerPoint, Outlook).
• Knowledge or experience in preparing dashboard (e.g. Power Bi, Tableau) is an added advantage.
• Good analytical skills, meticulous and able to work independently.
• Team player with strong communication and good interpersonal skill.
• Results-oriented, fast-paced, resourceful, and proactive.
• Resilient and able to deliver under pressure.

PLACEMENT

Investment Compliance & Data Governance Section, Investment Services Department.

JOB STATUS

Permanent

All applications are strictly CONFIDENTIAL and only shortlisted candidates will be called in for interview. Applications are deemed UNSUCCESSFUL if there is no feedback from the EPF 2 MONTHS after the closing date of advertisement.