Nadia Borhan Email and Phone Number

Integrity1. Establish, monitor and maintain the Anti-Bribery Management System (ABMS); 2. Ensure compliance with anti-bribery laws, rules and regulation and ISO 37001 ABMS requirements;3. Conduct investigations of reports received through the whistleblowing channels and prepare the report of findings investigate breaches and/or non-compliance to relevant policies and develop recommendations for improvement; and4. Promote and enhance integrity culture in the organization by conducting training and awareness .Compliance1. Facilitate and assist the management with the development, implementation and maintenance of relevant policies and procedures to ensure compliance with applicable laws and regulations;2. Conduct comprehensive compliance risk assessments and provide recommendations for improvement;3. Establish compliance framework and work procedure;review the effectiveness of the anti-bribery management system and the overall compliance framework and where necessary, propose updates and improvements to the system4. Prepare the relevant high-level compliance reports to Senior Management, Audit Committee and Board of Directors;5. Keep informed regarding introduction of new laws and regulations, changes, trends and best practices and assess the potential impact of these changes on the company’s policies and processes; and6. Educate and advise the management and LPPSA employees on compliance issues and acting as a contact point for LPPSA.

1. Assist in regulatory compliance risk (e.g. gap analysis, matrix validation, KRI, etc).2. Assist in building a preventive culture in O&T/e2 Power Malaysia.3. Implement operations & technology risk prevention initiatives/ programs within Malaysia.4. Tracks, monitors, and manage all regulatory risk control gaps/ issues/ findings/ action plans to ensure timely closure.5. Support the review and update of operations & technology risk related policies, standards, guidelines, and processes.6. Organizes, conducts, and performs risk assessment.7. Highlight & advice on regulatory & risk issues and conduct thematic reviews.8. Manage relationships, facilitate discussions with regulators, auditors and O&T/e2 Power departments and review assessment results.9. Facilitate staff awareness training for risk & compliance to build awareness & understanding

1. Familiarization with rules, regulations, guidelines and Acts as stipulated in the Guidelines on Unit Trust Funds, Guidelines on Compliance Function for Fund Management Companies, Anti-Money Laundering and Anti-Terrorism Financing Act 2001, Companies Act 1965, Capital Markets and Services Act 2007 and any other relevant applicable regulations imposed by the regulatory authorities such as Securities Commission (SC), Bank Negara Malaysia (BNM) and The Federation of Investment Managers Malaysia (FIMM).2. Act as Liaison Person with relevant regulatory authorities, for e.g. the SC, BNM & FIMM pertaining to any regulatory guidelines and/or upon attending to the regulators’ queries;3. Review and checking of reports and documents according to the department’s compliance programme to ensure adherence with the guidelines and regulation issued by regulators4. Conduct compliance and AML/CFT reviews and monitoring on new and existing clients in accordance with the compliance programme and stipulated timelines and Suspicious Transaction Reporting (STR) submission to BNM.5. Liaison with other departments’ personnel in relation to relevant periodic reports and other documents in the course of performing compliance review and job scope6. Examine and/or investigate any irregularities in the Company’s operations and follow-up on rectification of non-compliance cases/lapses from other departments’ personnel;7. To recommend remedial action to the Company in the event of non-compliance8. Any other duties that may be assigned by the company from time to time.

1. Reviewing, revising and drafting internal manuals, policies and procedures to ensure compliance with relevant rules and regulations.2. Conduct regular compliance review to ensure compliance with regulatory and internal requirements.3. Enhances the company efficiency and productivity by streamlining business processes and improve workflow, assess the entire operation from top to bottom, looking for areas of improvement4. Conduct compliance and AML/CFT reviews and monitoring on new and existing clients in accordance with the compliance programme and stipulated timelines and prepare compliance reports5. Ensures all project deliverables and outcomes are implemented on time, on budget, and within scope, to meet the expectations.6. Examine and/or investigate any irregularities in the Company’s operations. All findings should be properly documented.7. Monitor and record the monthly project document issuance and status.8. Compile document for submission / safekeeping in hardcopy and softcopy.9. Maintain and keep track document sequence in project management.

1. Responsible to ensure all periodic & trigger events are reviewed and completed timely as well as to ensure the MIS report is updated and readily at any point of time to achieve 100% compliance and zero overdue.2. Exceptional cases quality checks for risk reclassification, triggered under watchlist and btriggered under suspicious transaction as according to the AML/CFT.3. Ensure CDD documents fulfill client AML/CDD procedures and local requirements for proper AML&CFT control.4. Evaluating and analyzing information and evidence related to known or suspected money laundering or terrorist financing. 5. Conducting full CDD review on customers who have been listed in SAR, PEP, MACC, Tax Evasion, Production Order as well as EDD client. 6. Analyzing alert trigger on Norkom 6.1 system base on transaction trigger using logic metadology pattern. Justify the action plan and execution of Exit Relation base on CDD Advisory decision and support by Business.7. Conducted internal and external research to analyze customer background and to investigate the legitimate of the alerted transactions.8. Co-ordinate with branches for gathering of information/data.9. Prepared the investigation documentation/report, assisted and provided information to support Suspicious Activity Reports (SAR) or equivalent for regulatory filing.10. Responsible on liaise with other country for foreign PEP confirmation by conducting name screening using Detica AOC, World Check and Public trusted Domain Search Engine.

Supporting the back-office processing and settlement function relating Premium Currency Investment, Commodity Linked Structure Investment, Equities, Bond, Unit Trust, and Structure Multiple Coupon Deposit. Corporate Action Period1. Executing and processing corporate action payments (coupons/ dividend/ Early redemption/ Redemption) paid to the clients in a timely manner.2. Ensure that all corporate action event is correctly processed, reviewed and reconciled as necessary in accordance with procedures and event deadlines3. Static maintenance such as clients' account creation, profile creation, to relevant investment accounts and so on.4. Ensure that all type of advices is sent to clients in a timely manner throughout the life cycle of the corporate events.5. Investigate reconciliation discrepancies on a daily basis and ensuring all discrepancies are resolved and cleared at the earliest opportunity.6. Manage any enquiries received from various internal and external parties.7. Liaise with custodians/counterparty for clarification on income payment related issues. Subscription period1. Conduct end-of day checks on FINIQ system and S2B queue to make sure that there are no trades left unattended and unprocessed.2. Ensure all daily instructions have been executed and EOD completeness reconciliation was performed3. Monitor all manual account openings are done accurately and promptly4. Review the list of outstanding items daily and follow-up with the fund houses on non-receipt of the trade confirmation or discrepancy on the trade confirmation against the order placed5. Ensure timely and no unaccountable reconciliation breaks cash, securities and others GL accounts / unclaimed fund items.