Compliance Executive/Manager

  • Negotiable
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • China Ping An Insurance Overseas (Holdings) Limited
  • 14 Mar 18 2018-03-14

Investment and Product Compliance General Compliance Internal Control Staff Development

Job Descriptions:
Investment and Product Compliance
Set up investment and risk management rules and restrictions in trade compliance system and ensure investment compliance according to UT codes and specifics of the funds.
Liaise with local and overseas regulators in relation to the Company’s product offerings and fund launch. Review and update offering documents and relevant notifications.
General Compliance
Review and comment on product compliance, e.g. structured products and exotic options.
Ensure the sales and marketing activities are in compliance with relevant rules and regulations.
Monitor staff-dealing activities, client onboarding (KYC) procedures, implement anti-money laundering control in accordance to AML/ CTF guidelines and manage sanctions risks.
Recommend licensing needs for staff and the Company when there is a change in job duties and business scope.
Update policies and procedures with respect to emerging regulatory reforms or new business initiatives.
Internal Control
Identify compliance risks in major business processes and formulate enhancement solutions so as to achieve Company’s strategic objectives.
Staff Development
Conduct staff onboarding and regular compliance trainings. Promote above industry standard corporate governance culture.

Job Requirements:
Experience in Chinese firms with SFC Type 1, 4 and 9 are preferable.
Willing to go the extra mile to achieve business objectives.
Trustworthy, reliable, resourceful and diplomatic.
Degree holder with minimum three years’ work experience.