Compliance Manager

Compliance Manager, Compliance - Malaysia

PineBridge Investments is a private, global asset manager focused on active, high conviction investing. We draw on the collective power of our experts in each discipline, market, and region of the world through an open culture of collaboration designed to identify the best ideas. Our mission is to exceed clients’ expectations on every level, every day. As of 30 September 2025, the firm managed US$215.1 billion across global asset classes for sophisticated investors around the world.

The role will be based in Malaysia with the expectation of a hybrid work model.

PineBridge Investments is seeking a Compliance Manager in our Kuala Lumpur Office.

Primary Responsibilities:

Regulatory/Core Compliance:

• Oversee the Malaysia entity to ensure its compliance with local laws and regulations; Monitor regulatory developments, perform gap analysis and advise senior management, Board of Directors and relevant departments of the implications on the company/department.  Develop policies and procedures to ensure the company’s compliance with regulatory requirements, such as ESG, outsourcing in relation to fund management companies;
• Provide solution-based advice to company staff/departments on compliance with regulatory requirements;
• Handle regulatory filings, surveys to SC, arrange licensing/representative registration-related matters;
• Implement an effective risk-based compliance monitoring program on adherence to regulatory requirements;
• Conduct staff training on compliance and regulatory issues/requirements;
• Prepare local board paper, internal/group management reporting;
•  Lead any regulator inspection and maintain close working relationship with internal and external auditors;
• Facilitate some finance, corporate filings, operations and tax related matters tasks for Malaysia office, as required from time to time.

Investment/Trade Compliance:

• Work closely with the Investment team and Regional & Global ITC team on investment and trade compliance matters for any fund/client related SMA accounts.

Global Centre of Expertise (“COE”) - Distribution, Assurance & Testing and AML:  

• Distribution Marketing - Review marketing materials (covering public or private side products) for Malaysia and South Asia to ensure cross border marketing activities complied with local regulatory requirements and be a solid team member of the global distribution COE;
• Assurance and Testing – performed risk-based assurance reviews to detect gaps in policies, testing processes, etc. and provide recommendations for remediation;
• AML - Act as local AML compliance officer and work with Global AML team, ensure KYC documentation is maintained, perform and oversee ongoing AML name screening and transaction monitoring are conducted to comply local/regulatory requirement.

Others And Projects:

• Assist to coordinate and prepare information/documents relating to internal/external audits;
• Participate in any regional or global projects as need.

Qualifications:

• Tertiary qualifications;
• At least 5 to 10 years’ compliance experience, risk management or audit experience in the asset management/ financial services industry in Malaysia, preferably with compliance experience;
• Experience in Brunei, Thailand, South Asia regulatory requirements will be a plus;
• Experience and knowledge in StarCompliance, WorldCheck or ACA Alpha will be highly regarded;
• Good command of written and spoken English;
• Good communication and interpersonal skills as this role requires interaction among different regional offices;
• Meticulous, articulate and ability to work independently but good team player;
• Strong organizational and time management skills;
• Strong analytical and problem-solving skills.

About Pinebridge

PineBridge is proud of our award-winning culture, which reflects our commitment to empowering employees and fostering a collaborative work environment. For five consecutive years (2020-2024), PineBridge has been named a ‘Best Place to Work in Money Management’ by Pensions & Investments, a leading industry designation which recognizes the best employers in the asset management industry by evaluating employer benefits, policies, and responses to an employee survey. In 2023, PineBridge received Hong Kong Institute for HR Management Elite awards for ‘Best Workplace’ and ‘Learning & Development’. Alongside this, PineBridge was recognized as a finalist at the 100 Women in Finance’s APAC Industry Diversity, Equity & Inclusion Award.

Our benefits: We offer a wide range of family friendly benefits including comprehensive healthcare, back-up childcare program to support working parents and flexible work arrangements so you can be there for the people you care about. We also provide a competitive retirement plan and tuition reimbursement. Furthermore, we have a robust list of professional development opportunities with the goal of engaging, retaining, and developing our talent.

Our values: We value our clients, investment excellence, collaboration with our distributed team members, empowerment, and independence as we honor our heritage and our roots.

PineBridge is proud to be an Equal Opportunity Employer committed to fostering an inclusive workplace, providing opportunities for all qualified persons and maintaining an environment free from all forms of harassment and discrimination for its employees. PineBridge is dedicated to recruiting, hiring, training and promoting into all job levels the most qualified applicants without regard to actual or perceived age, race, creed, color, religion, national origin, ancestry, height, weight, sex, gender (including gender identity), disability, pregnancy, marital status, domestic partner status, sexual orientation, AIDS/HIV status, military status, alienage or citizenship status, genetic information, domestic violence victim status or any other basis protected by applicable federal, state or local laws. At PineBridge, we strive to create an inclusive environment that attracts, retains, and develops the best global talent, leveraging the unique backgrounds, skills, and perspectives that all our people bring to work.