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Head of Investment Assurance


Job Summary

Leads and coordinates assurance activities across functions and geographies to mitigate risk with specific investment expertise. Propose solutions, consults and provides oversight by means of specific assurance expertise and general management skills: investment compliance, investment operational risk and risk assessments and mitigation actions.

Key Accountabilities

  • Ensures that investment activities are performed, monitored and controlled in accordance to KPIs and risk appetite.
  • Fully responsible and accountable for Bloomberg Front Office Systems including setting, testing and monitoring of Front Office System Compliance Rules for Malaysia and Indonesia. Investigation and resolution of Investment Guideline breaches on a daily basis, This includes internal and external regulatory policies.
  • Coordinates monitoring of team, department or country compliance with internal policies and with external regulations.
  • Fosters and promotes a controlling mindset in the teams by influencing managers and employees.
  • Sets actions, policies, controls and processes in coordination with other assurance functions and leads implementation and necessary reporting accordingly.
  • Maintain governance documentation (e.g. charters, policies, etc.).
  • Supports audit coordination by acting as interface between auditors/compliance officers and business.
  • Completes other assessments and reviews including coordination across assurance functions.

Key Accountabilities (cont'd)

  • Plans, delivers, follows up and monitors relevant actions, in particular:
  • Coordinates implementation of procedures to ensure compliance to published policies, procedures and controls.
  • Monitors published regulation, policies, procedures and controls to support policy analysis and implementation.
  • Maintains and oversees internal control frameworks to maintain organizational standards in financial reporting and operational key controls, etc.
  • Develops and monitors management oversight reports in order to communicate assurance topics.
  • Pro-actively reviews financial markets & product developments and regulatory developments in order to identify developments relevant to Investment strategy and operations
  • Leads communication related to assurance topics and issues and follows up on relevant actions in consultation with assurance subject matter experts.
  • Issues and follows up on processes & policies.
  • Assesses the need and sets business continuity management activities


  • Degree Holder or equivalent. Qualified  financial profession, Law and Risk Management
  • At least 7 years of relevant work experience in investment, asset management, preferably including exposure to the insurance industry or audit.
  • Understanding of regulatory and reporting environment governing (insurance) investments in Malaysia.
  • Experience in Bloomberg Compliance functions and rule creation will be an advantage.
  • Analytical mind with a focus on detail, high self-motivation, strong interpersonal and stake holder management skills.
  • Existing capability to quickly acquire knowledge of Zurich compliance and reporting requirements, procedures and control framework.
  • Strong verbal and written communication skills in English and BM.
  • Good understanding and knowledge of capital markets, financial products and investment structures with a strong preference for fixed income, equity and derivatives


  • Chartered Financial Analyst (CFA) or equivalent


  • Strong knowledge of operational, risk management and control framework.
  • Good understanding of outsourcing processes and monitoring of those.
  • Good understanding of audit processes and requirements.
  • Good understanding of insurance regulations.
  • Learning of how to use Bloomberg would be required.

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