ASSISTANT COMPLIANCE MANAGER

  • Competitive package
  • Hong Kong
  • Permanent, Full time
  • Recruitment Intelligence Consultants Limited
  • 28 Sep 16

An international financial institution is looking for an outstanding candidate to join as Assistant Compliance Manager. The position is based in Hong Kong.

  • International Financial Institution
  • Pension Business

Our client is an international financial institution with an international presence. To cope with their business expansion, they are seeking an outstanding candidate to join them.

Ensure corporate and business activities are conducted within the framework of applicable laws and regulations, internal policies and procedures and international best practices.

Pension operations compliance monitoring

  • Familiarize the pension operation system, closely monitor regulatory submission in timely and proper manner
  • Work closely with pension operations department and relevant department(s) to handle regulatory enquiries, breaches, complaints, regular reporting and other related issues
  • Provide compliance advice on pension operational matters, projects and other initiatives
  • Compliance review on administration forms/communication pieces
  • Monitor proper filing and record of trust related legal and compliance documentation

Mutual fund operations compliance monitoring

  • Work closely with fund operation department and relevant department(s) on various mutual fund operational compliance matters
  • Provide compliance advice on fund operational matters, projects and other initiatives
  • Compliance review on fund operation forms/communication pieces

Business Process

  • Collaborate with various business units to ensure business processes are in compliance with internal guidelines and regulatory requirements
  • Compliance monitoring on AML/CTF and KYC matters including customer due diligence, OFAC/sanction check, assessment, etc. to ensure proper compliance with relevant regulatory requirements
  • Provide compliance advice on various business matters, projects and other initiatives
  • Compliance monitoring on service providers due diligence

General Compliance and Licensing

  • Closely monitor FATCA and relevant matters
  • Monitor licensing matters, licensee's CPD/CPT fulfillment and annual return
  • Design and conduct compliance training
  • Formulate and monitor compliance plan
  • Compliance review on procedures/manuals and policies
  • Monitor regular and ad-hoc compliance reports to Management and Head Office
  • Supervise regulators' enquiry/survey/onsite examinations and audit matters
  • Provide compliance supports to any ad hoc projects as required

To qualify for the position, you should be a Degree holder with a minimum of 5 years relevant experience in the financial services industry. Good knowledge on MPFSO and SFO and relevant codes and regulations. Proficiency in English and Chinese.  Meticulous, efficient and responsible.

Interested applicants should send a detailed resume to Kelly Kam by email to kkam@ric.com.hk or by fax to (852) 2838 3323 quoting reference eFC2653.

(Applicants not contacted within 4 weeks should consider their application unsuccessful.)