JOB SUMMARY
Work assigned is not limited to the job scope listed below, may be assigned to another function based on the workload and requirement:
- Support investment compliance advisory activities relating to sanctions, regulatory restrictions, prohibited investments, and investment-related compliance matters across domestic and global investment portfolios.
- Perform daily screening and monitoring of investment activities, securities, issuers, counterparties, and related entities against applicable sanctions programmes and regulatory restrictions.
- Assist in identifying, assessing, documenting, and escalating potential sanctions, regulatory restriction, and investment compliance issues arising from investment transactions and holdings.
- Maintain accurate compliance screening records, due diligence documentation, watchlist references, escalation evidence, and monitoring results in accordance with internal policies, guidelines and procedures.
- Collaborate with internal and external stakeholders, including investment teams, custodians, data vendors, and other service providers, to support compliance reviews and resolve sanctions or restriction-related matters.
JOB RESPONSIBILITIES
Investment Compliance Advisory
- Provide first-level advisory support on sanctions, investment restrictions, prohibited securities, restricted entities, and other regulatory requirements applicable to investment activities.
- Review and assess investment proposals, transactions, securities, issuers, counterparties, and related entities against applicable sanctions programmes, regulatory restrictions, and internal investment policies.
- Assist in interpreting applicable compliance requirements and communicating relevant guidance to investment and operational teams in a clear and timely manner.
- Escalate potential sanctions matches, regulatory concerns, investment restriction issues, or compliance exceptions to supervisor for further assessment and decision-making.
Sanctions and Regulatory Screening
- Conduct daily screening of investment transactions, securities, issuers, counterparties, beneficial owners, and related parties against applicable sanctions lists and regulatory restriction databases.
- Perform daily monitoring of investment holdings to identify sanctioned, restricted, prohibited, or high-risk entities that may impact investment portfolios.
- Review and validate screening results, perform preliminary assessment of alerts, and distinguish potential true matches from false positives based on available information.
- Maintain complete and accurate records of screening activities, exceptions, findings, references, and escalation actions for audit trail and reporting purposes.
Compliance Monitoring and Reporting
- Monitor ongoing compliance with sanctions requirements, regulatory restrictions, foreign ownership limits, substantial shareholding requirements, sensitive industry restrictions, and internal investment guidelines.
- Prepare regular reports, compliance dashboards, management information, and supporting documentation relating to sanctions monitoring, screening results, and regulatory restriction matters.
Process Improvement
- Assist in reviewing sanctions screening technology, system parameters, data sources, and monitoring outputs to support accuracy, effectiveness, and compliance with applicable requirements.
- Support system testing, data validation, and implementation activities for sanctions screening tools, compliance monitoring systems, new investment portfolios, accounts, and operational enhancements.
- Participate in process improvement, automation, and digitalisation initiatives to enhance screening effectiveness, monitoring efficiency, and internal control standards.
- Assist in reviewing, updating, and improving guidelines, procedures, work instructions, and relevant processes relating to sanctions screening, regulatory restrictions, and investment compliance monitoring.
- Remain agile and adaptable to support additional scopes or similar functions as and when required based on operational needs, regulatory developments, and workload requirements.
JOB REQUIREMENTS
- Malaysian citizen.
- Pass the Malay Language including an oral test at the Sijil Pelajaran Malaysia (SPM) level or equivalent as recognised by the Government.
- Possess Bachelor's Degree in Accounting, Finance, Law, Economics, Actuarial Science, Business Administration, Risk Management, Compliance, or other related qualifications which are recognised by the Government from any local or abroad higher learning institution including membership in the relevant professional bodies.
- Fresh graduates are encouraged to apply.
- Proficiency in using Microsoft Office applications (Excel, Word, PowerPoint, Outlook).
- Knowledge in handling sanctions screening-related tools would be an added advantage.
- Good analytical, investigative and problem-solving skills, excellent attention-to-detail, and able to work independently.
- Proactive, resilient, adaptable to new technologies, and able to deliver under pressure.
- A team player with good communication and interpersonal skills.
JOB STATUS
Permanent
PLACEMENT
Data Governance Office Section, Investment Services Department
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.
