Summary
Overview
Work History
Education
Certification
Affiliations
Languages
Timeline
Generic

Aaron Gumis

Legal & Governance Specialist
Kuala Lumpur

Summary

A Legal & Governance Specialist with hands-on experience in both Legal and Compliance discipline within the Financial Industry. Able to communicate and articulate effectively and efficiently to contribute positively within a team and manage internal and external stakeholders. Recognised for reliability and adaptability and keen interest to learn and apply new skills.

Overview

9
9
years of professional experience
2
2
Certifications

Work History

Legal & Governance Specialist

Hannover Re Malaysia
04.2024 - Current
  • Monitoring of compliance issues and trends on regulation and governance affecting the company, including updates to regulations, trade association developments, and internal governance.
  • Advise internal stakeholders on the implication of compliance issues and provide solutions.
  • Preparing and facilitating the submission of ad-hoc and regular compliance related reports to BNM, head office and branch management.
  • Identification and reporting on material compliance incidents to ensure the company’s compliance with timely reporting.
  • Drafting, reviewing and updating the local policies and frameworks to be in line with both internal and external regulations as updated.
  • Performing compliance risk assessment on related compliance risks (Regulatory Compliance, Sanctions, AML, New Products etc).
  • Reporting and escalation of material compliance incidents in a timely and confidential manner.
  • Coordinate and collaborate closely with business and supporting units on internal and BNM audits, as well as conducting regular compliance audits.
  • Liasing with the BNM and facilitating regulatory communication between BNM and the company.

Legal & Governance Executive

Hannover Re Malaysia
11.2022 - 04.2024
  • Facilitate and support in developing an internal KYC platform to streamline our KYC process to a single online platform to send out, verify and approve KYC request while ensuring adherence with BNM's AML regulations.
  • Preparation and verification of KYC request and submissions.
  • Inculcating a culture of compliance in the company through awareness programmes via compliance newsletters and trainings (Anti Bribery & Corruption, Sanctions, KYC topics etc).
  • Assist in providing litigation support and coordinating with external counsels and loss adjusters including the compiling of relevant supporting documents for the prepartion of court documents, audit reports etc.
  • Support internal stakeholders by reviewing Reinsurance Agreements and clauses and providing timely feedback inline with internal guidelines and liasing with head office where required.
  • Support in drafting a contract management framework that will govern adn streamline the contract lifecycle process

Corporate Governance Graduate Associate

Hannover Re Malaysia
11.2021 - 11.2022
  • Providing support in reviewing legal agreements from internal and external clients (MOU, Service Agreements, NDA, TOBA, etc.).
  • Continuous upkeep of the contract management registry.
  • Providing timely research into internal regulatory matters including licensing requirements, sanctions, and regional operating requirements.
  • Support the review and implementation of issuances of Policy Documents from BNM.
  • Conduct gap-analysis local processes are compliant with the relevant regulations.

Legal Assistant

Pall (Malaysia) Sdn Bhd
07.2018 - 06.2019
  • Assisted in managing and ensuring compliance of over 300 sales and non-sales Channel Partners (Distributors, Resellers, Agents, service providers) across the APAC region to ensure adherence to the Foreign Corrupt Practices Act 1977
  • Carried out due diligence and provided anti-bribery training on potential Channel Partners (in respect of foreign and Malaysian laws)
  • Conduct risk assessment and highlight potential issues to Business Unit leaders before approving Channel Partners
  • Assist in the drafting and reviewing of various legal agreements (Distribution, Reseller, Agency, Services, Consulting etc.)
  • Assist the Legal Counsel to liaise with law firms and government officials to ensure compliance with local regulations
  • Prepare presentation slides for legal and compliance training for Pall associat

Legal Intern

Messrs. Jayadeep Hari & Jamil
03.2016 - 08.2016
  • Completed a 6-month student attachment programme aimed at providing hands-on experience in a medium sized law firm
  • Received practical training in various practice areas including conveyancing, corporate and dispute resolution, notably:
  • Compiling key amendments from the Companies Act 1965 to the Companies Act 2016
  • Conduct client satisfaction surveys
  • Attend court hearings and conduct mock trials

Education

Bar Professional Training Course -

University of The West of England, Bristol
04.2001 -

Bachelors of Law (LLB) -

University of The West of England, Bristol
04.2001 -

Certification

Foundation in Regulatory Framework and Compliance by Malaysian Insurance Institute (MII)

Affiliations

  • LIAM Legal Networking Group
  • BNM National Language Coordinating Officer (Financial Insitution)
  • Barrister-at-Law, Middle Temple, London

Languages

English, Malay, Bidayuh
Native language

Timeline

Legal & Governance Specialist

Hannover Re Malaysia
04.2024 - Current

Foundation in Regulatory Framework and Compliance by Malaysian Insurance Institute (MII)

04-2024

Legal & Governance Executive

Hannover Re Malaysia
11.2022 - 04.2024

Flood Responders Training Foxtrot 1 by Malaysia International Search & Rescue (MISAR)

10-2022

Corporate Governance Graduate Associate

Hannover Re Malaysia
11.2021 - 11.2022

Legal Assistant

Pall (Malaysia) Sdn Bhd
07.2018 - 06.2019

Legal Intern

Messrs. Jayadeep Hari & Jamil
03.2016 - 08.2016

Bar Professional Training Course -

University of The West of England, Bristol
04.2001 -

Bachelors of Law (LLB) -

University of The West of England, Bristol
04.2001 -

Similar Profiles

CREATE PROFILE
Aaron Gumis Legal & Governance Specialist