Regulatory Compliance Director

  • HKD 1m or above
  • Hong Kong
  • Permanent, Full time
  • Symmetry Consultancy Limited
  • 20 Oct 18

On behalf of our Financial Institutional client, we are looking for a Regulatory Compliance Director to maintain a regulatory compliance and control framework including compliance risk assessment, liaison with regulators, ensuring new rules and regulations are implemented timely by updating policies and procedures, creating and maintaining a good compliance culture within the organisation. Key duties includes compliance team management, project co-ordination for compliance related matters, provide compliance training, design compliance monitoring testing, monitor results and remediation actions to reduce overall compliance risk. Follow up on client complaints and perform investigation where necessary. Formulate compliance planning, manage overall compliance management framework.

1.  Team lead of the Regulatory Compliance and Central Management, review and anlaysis the existing compliance control framework to ensure local and relevant offshore legislation and regualatory requirements are being complied with,  Perform impact analysis on new rules and regulations and implement changes in policy and procedures to cope with the latest regulations.

2.  Maintain a compliance regulatory framework including but not limited to compliance assessment, compliance planning, improve internal policy and procedures and conduct compliance training, compliance monitoring testing to ensure staff better understanding of compliance to reduce the related compliance risk.

3.  Ongoing compliance monitoring and testing and reporting the results to management.  Agree the remediation plan with relevant business or functions and monitoring the implementation status timely.

4.  Follow up client complaints and perform/co-ordinate the investigation as well as special projects where necessary.

5.  Maintain good relationships with regulators.  Co-ordinate with internal stakeholders such as management, relevant business units, group company and/or external stakeholders (where necessary) to ensure regulators' concerns/recommendations are being followed up timely and properly.

6.  Maintain updated policy in accordance to latest legislation and regulations such as Competition Law, Privacy/Secrecy Law etc

7.  Ensure overseas subsidiaries are complying with the relevant rules and regulations in accordance to the business license.

If you are interested to apply the post, please send your updated CV to Servicing@symconsultancy.com