Anis Azman

Assistant Manager, Compliance at Amanah Raya Berhad
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Contact Information
us****@****om
(386) 825-5501
Location
MY

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Credentials

  • SC Module 11
    Securities Commission Malaysia
    Oct, 2016
    - Oct, 2024
  • Computerized Unit Trust Examination
    Federation of Investment Managers Malaysia
    Nov, 2011
    - Oct, 2024
  • SC Module 9
    Securities Commission Malaysia

Experience

  • Amanah Raya Berhad
    • Malaysia
    • Legal Services
    • 100 - 200 Employee
    • Assistant Manager, Compliance
      • Oct 2020 - Present

      1. Assist Head of Unit (HOU) and manage tasks in relation to the coordination, implementation and development of compliance efforts which includes policies, procedures and processes as well as the execution, monitoring and completion of ad-hoc projects. 2. Ensure compliance with all relevant external laws, regulations, guidelines, internal policies and procedures as provided by the management and the Board of Directors. 3. Detect and prevent the violation of any internal and/or external laws, regulations, guidelines, policies & procedures. 4. Liaising on behalf of company with the BNM, LHDN and any other regulatory body. 5. Manage and monitor the compliance with the implemented AML framework. 6. Coordinate and mitigate Anti-Money Laundering, Anti-Terrorism Financing and Proceeds of Unlawful Activities Act 2001 (AMLA) issues/risks for the company. 7. Perform customer due diligence, enhanced due diligence and ongoing due diligence on new and existing clients. 8. Undertaking transaction monitoring for individual and corporate clients. 9. Review monthly compliance reports, AML process report and IRA/CRP reports. 10. Formulate and execute training and awareness program to all staff. 11. Conduct compliance assessments to the selected Branches and Departments. 12. Responding to internal audit and external parties’ inquiries. Show less

  • AmanahRaya Investment Management Sdn Bhd
    • Malaysia
    • Financial Services
    • 1 - 100 Employee
    • Senior Executive, Compliance
      • Mar 2016 - Sep 2020

      1) Perform daily monitoring, weekly and monthly compliance report for Unit Trust Fund & Direct Mandates. 2) Liaise with various external parties including Trustees, Shariah Advisors, Securities Commission Malaysia (SC), Employees Provident Fund Malaysia (EPF) and Federation of Investment Managers Malaysia (FiMM). 3) Attending FiMM and SC's briefing/training on work related. 4) Review & coordinate submission/reporting/project to/with FiMM, EPF and SC. 5) Review Policy and Quality Procedures for Compliance Department and other department (where necessary). 6) Prepare New Cash Management Fund application for submissions to the SC. 7) Prepare/Review the annual Master Prospectus renewal in accordance to the SC requirements. 8) Prepare report for Risk Management and Compliance Committee, Investment Committee Members and Board Meeting (if any). 9) Compile information for EPF Audit and FiMM due diligence. Show less

  • AmFunds Management Berhad
    • Senior Executive, Compliance
      • May 2011 - Mar 2016

      1. Review and prepare New Wholesale Funds, Unit Trust Funds and Private Retirement Schemes Funds application for submissions to the Securities Commission Malaysia (SC). 2. Carry out initial review of Funds Report submissions to SC and Bursa Malaysia. 3. Carry out initial review of Promotional Materials, Fund Fact Sheet and Product Highlights Sheet. 4. Prepare the annual Master Prospectus renewal in accordance to the SC requirements. 5. Work closely with various department including Finance, Risk, Product and Operations in gathering updated information with the set time frame. 6. Liaise with various external parties including Trustees, Auditors, Tax Advisors, Legal Advisors, Shariah Adviser and Regulators. 7. Knowledgeable in various fund guidelines including Unit Trust Funds, Wholesale Funds, Private Retirement Schemes, Islamic Fund Management, Prospectus for Collective Investment Schemes and CMSA 2007. 8. Call and coordinate quarterly Syariah meetings and unit holder’s meetings when necessary. 9. Perform submission of fund termination notification while constantly update Funds Malaysia System. 10. Compile and verify complaints as well as breach report submissions to SC, Employees Provident Fund Malaysia (EPF) and Federation of Investment Managers Malaysia (FiMM). 11. Ensure accuracy and timeliness in preparing and submitting an application of extension of time, exemption and variation from the guidelines to SC. 12. Responding to SC, FiMM and EPF queries. 13. Appointed as Assistant Compliance Representative for Compliance Monitoring & Reporting submission. 14. Ensure timely submission of all application related to funds and update the progress on weekly basis. Show less

  • T.F.Lim & Associates (Chartered Accountants)
    • Auditor
      • Jul 2010 - May 2011

      1. Perform investigation and analysis on accounting records to determine financial status of the establishment and prepare audit reports in accordance to operating procedures. 2. Carry out inspection and verification on original book entries and transactions to ensure full compliance to accounting procedures. 3. Check, verify and authenticate journal as well as ledger entries of cash, check payments, purchases, expenses, and trial balances as well as inventory items. 4. Generate scope of audit report for management. Show less

Education

  • Universiti Utara Malaysia
    Bachelor’s Degree in Accounting (Hons), Accounting
    2006 - 2010

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