Compliance Officer Compliance Officer …

M&G plc.
in Hong Kong
Permanent, Full time
Last application, 30 Nov 21
M&G plc.
in Hong Kong
Permanent, Full time
Last application, 30 Nov 21
M&G plc.
At M&G our vision is: to become the best loved and most successful savings and investment business and we’re looking for people who are excited about joining us on our journey. We’re digitally transforming and investing heavily in technology and innovation to develop new and improved customer propositions that really raise the bar for our customers. To help us achieve our vision we’re looking for exceptional people who live our values and behaviours and who can inspire others; embrace change; deliver results and keep it simple.

What you can expect from us:

We are committed to creating an environment where you can be exceptional at all you do. To help us deliver this, we promise to:

  • Challenge Your Limits by creating a stimulating working environment and providing opportunities for you to be involved in meaningful and challenging work
  • Support Your Aspirations with a commitment to learning and development that helps you achieve and build your experience with people who want you to succeed
  • Value Your Input whereby leaders and managers will involve you in key decisions, listen to your thoughts and recognise the important contribution you make
  • Balance Your Life through a work life partnership that focuses on making this an inclusive, diverse and friendly place to work and offers the flexibility and support that enables everyone to be at their best

The Role:

This role supports the Compliance function in response to the growing business needs as well as regulatory changes in the region and takes on responsibility for Compliance matters pertaining to Hong Kong and to East Asia ex. Japan distribution activities.

Key Work Level Accountabilities:  

Manager or Expert:

  • For technical specialists, accountable for delivering expert advice or service, using specialist knowledge and subject matter expertise
  • Applies judgement to deliver outcomes, evaluating a range of potential solutions, considering the impact for customers, cost and risk
  • Manages conflicts that may impact delivery
  • Challenges upwards given knowledge of delivery and awareness of complex systems and the broader picture
  • Identifies and anticipates need for changes to continuously improve quality and efficiency of output
  • Manages resources and risks using expert judgment, know-how and experience

Key Responsibilities for this role:

  • Responsible for supporting the Head of Compliance, Asia Pacific in delivering the regional Compliance plan taking responsibility for and delivering specific projects for Hong Kong as required
  • Advise business in relation to sales and marketing activities in Hong Kong, Greater China and Korea.
  • Manage regulatory compliance including SFC licensing, reporting and regulatory change management
  • Subject matter expert on all internal compliance policies, providing policy advice and guidance for distribution activities when required.
  • Responsible for conducting regular compliance monitoring and other reviews as required; presenting findings to relevant internal committees
  • Providing compliance trainings and regulatory updates to Hong Kong staff
  • Assist with the reporting of compliance management information to internal local, regional and global governance forums on a timely basis
  • Assist with marketing-related or general compliance enquiries from internal and external stakeholders
  • Stay on top of Greater China and Korea regulatory developments and summarise key developments to relevant boards as well as internal and external stakeholders

Key Knowledge, Skills & Experience:

  • Degree level with relevant work experience
  • 7 to 10 years of experience in a compliance role with an SFC licensed financial institution based in Hong Kong. 
  • A good understanding of the Hong Kong local regulatory requirements, in particular the Securities and Futures Ordinance and SFC regulations like the SFC Handbook for Unit Trusts and Mutual Funds.
  • Demonstrated ability to work as a sole contributor/be the Compliance point person for Hong Kong
  • Independent, self-motivated and able to meet tight deadline. 
  • Professional presentation and report writing skill. 
  • Good command of written and spoken English as well as Mandarin Chinese to support the Greater China region
  • Attention to detail - Able to accurately compile and extract information from various data sources; Shows awareness and foresight when compiling and extracting data; Is meticulous to avoid careless errors; Is diligent in ensuring quality and accuracy of work 
  • Communication - Communicates clearly and effectively using appropriate media; Express their points, ideas and opinions clearly, concisely and with confidence; Has strong written skills; Listen attentively and show they have listened 
  • Planning & Organising - Manage time effectively taking account of priorities; Forecast and manage their workload to ensure deadlines are met; Adapt flexibly and appropriately to changing circumstances; Ensure work is thorough and reviewed 
  • Curiosity & Learning - Take an active and genuine interest in their work; Enthusiastically further their knowledge and understanding; Continually seek out further information and explanations; Question people to learn more, especially when unsure of matters
  • Drive & Delivery - Committed to achieving results and to deliver on time; Demonstrate a high level of energy, drive and dynamism; Go the ‘extra mile’ by committing additional time and effort when necessary; Act on own initiative responsibly; Work diligently and conscientiously towards objectives 
  • Client Focus - Operates with integrity in all dealings with clients; Responds to client's needs in a timely, professional and courteous manner 
  • Relationship Development - Has a positive attitude; Able to appropriately balance formal and informal communication; Treats everyone with respect 

We live by four behaviours at M&G and we ask all our employees to:

  • Inspire Others – Support and encourage each other, creating an environment where everyone can contribute and succeed
  • Embrace Change  - Be open to change, willing to be challenged and able to adapt quickly and imaginatively to new ideas
  • Deliver Results - Focus on outcomes, set high standards and deliver with energy and determination
  • Keep it Simple - Cut through complexity and bureaucracy, be clear and decisive and never overcomplicate things

At M&G Diversity and Inclusion is a strategic objective. We know that an inclusive environment makes us more accessible and ensures we attract, engage, promote and retain exceptional people.  We welcome applications from all individuals regardless of age, gender/gender identity, sexual orientation, ethnicity/nationally, disability, or military service and welcome those who have taken career breaks. We will consider flexible working arrangements for any of our roles.

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