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Vice President/ Associate, Compliance, Asset Management

Req #: 180003316
Location: Hong Kong, Hong Kong, HK
Job Category: Compliance
Potential Referral Amount: 20000 Hong Kong Dollar (HKD)
Business Description
Compliance plays a critical role in the successful execution of the firm's compliance mission.  The Compliance function ensures the development and maintenance of a strong compliance culture by developing and maintaining rules that govern our business globally. Compliance teams work closely with business, legal, risk, and audit program infrastructure that identifies, measures and monitors compliance with applicable laws, regulations and functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm's compliance control environment. Global Asset Management Compliance has the responsibility for oversight of the consistent implementation of Global policies & practices whilst ensuring regional and country nuances are adopted to take into account local law and regulation. 
Job Description
Major responsibilities include:
  • Implementing the Office of Legal Obligations (“OLO”) program. The role will need to critically analyze procedures against legal and regulatory obligations.
  • Engage with Compliance Practice groups to determine impact of new or changed Legal Obligations on Compliance policies, training, and monitoring & testing activities
  • Coordinate Compliance OLO within APAC Asset Management
  • Assist in implementation relevant global compliance policies and procedures.
  • Assist in reviewing impact of regulatory change and new business initiatives and advising on relevant compliance control.
  • Respond to regulatory enquiries and manage regulatory examinations.
  • Handle SFC and MPFA license applications and advise business of relevant competence and professional requirements.
  • Review the Continued Professional Training (CPT) records for licensed persons to ensure they fulfill the minimum requirements.
  • Extract and compile information for responding to regulatory inquiries in a timely and accurate manner enabling replies to be sent within the stipulated timeframe.
  • Provide training to the business e.g. induction trainings, new policies and new regulations.
  • Carry out ad-hoc compliance tasks as required.
Approximately 7 to 10 years relevant Compliance or regulatory experience.
  • Degree in law, accounting or finance related subject
  • Strong knowledge of SFC rules and regulations applicable to investment management business [e.g. SFO, SFC Code on Unit Trusts and Mutual Fund, SFC Advertising Guidelines, SFC Code of Conduct, SFC Fund Manager Code of Conduct etc
  • Strong attention to detail and quality.
  • Strong communication, report writing, interpersonal and influencing skills.  Ability to work independently and under pressure.

Fluent in English and Cantonese. Proficient in Mandarin is an advantage.

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