Risk Compliance Officer

6-8 Years

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Early Applicant

Job Description

RISK & COMPLIANCE OFFICER, KAF INVESTMENT FUNDS

Regulatory Compliance, Governance & Advisory

Lead and oversee the Company's compliance framework to ensure compliance with applicable laws, regulations, guidelines, and industry standards issued by the Securities Commission Malaysia, Federation of Investment Managers Malaysia, and other relevant authorities.
Advise the Board, Management, and business units on regulatory developments, governance matters, and compliance obligations.
Act as the primary liaison with regulators, auditors, and external stakeholders on compliance and risk-related matters.
Ensure timely submission of regulatory returns, notifications, and reports.

AMLA / AML/CFT/CPF Oversight

Oversee the Company's AML/CFT/CPF framework in compliance with the Anti-Money Laundering, Anti-Terrorism Financing and Proceeds of Unlawful Activities Act 2001 (AMLA) and relevant regulatory requirements.
Lead customer due diligence, enhanced due diligence, sanctions screening, beneficial ownership verification, ongoing due diligence reviews, and suspicious transaction reporting processes.
Conduct enterprise-wide ML/TF/PF risk assessments and oversee implementation of mitigating controls.
Promote AML/CFT awareness through staff training and periodic compliance communications.

Risk Management

Lead the implementation and continuous enhancement of the Enterprise Risk Management (ERM) Framework.
Identify, assess, monitor, and report key risks, including operational, regulatory, investment, technology, outsourcing, cyber security, and reputational risks.
Facilitate risk assessments and Risk Control Self-Assessments (RCSA) across business functions.
Monitor risk appetite, key risk indicators (KRIs), risk incidents, and emerging risks, and provide recommendations to Management and the Board.
Coordinate and present risk reports to relevant management and Board committees.

Investment Compliance & Bloomberg AIM Oversight

Oversee investment compliance monitoring to ensure compliance with fund mandates, prospectuses, deeds, investment guidelines, and regulatory requirements.
Manage and maintain investment compliance rules and restrictions within Bloomberg AIM and related investment systems.
Review pre-trade and post-trade compliance monitoring, exception reports, investment breaches, and remediation actions.
Work closely with Fund Management and Operations teams to strengthen investment governance and controls.

Compliance Monitoring & Control Assurance

Develop and execute the annual Compliance Monitoring Programme (CMP) and risk-based compliance reviews.
Monitor the effectiveness of internal controls and recommend improvements where gaps are identified.
Track and ensure timely remediation of audit findings, compliance breaches, regulatory issues, and risk events.
Conduct thematic reviews and compliance assessments on key regulatory and operational areas.

Policy, Governance & Training

Lead the development, review, centralisation, and dissemination of policies, procedures, and governance documents.
Promote a strong risk-aware and compliance-focused culture across the organisation.
Conduct training and awareness programmes on regulatory requirements, AML/CFT obligations, risk management practices, and governance standards.

Leadership & Strategic Oversight

Lead, mentor, and develop the Compliance and Risk Management team.
Provide independent second-line oversight while supporting business initiatives from a governance and risk perspective.
Ensure the Company's compliance and risk management practices remain aligned with regulatory expectations and industry best practices.
Support the Board and Management in fostering sound governance, effective risk management, and sustainable business growth.

REQUIREMENTS: