Job ref no.: 210001BH_1612496072 (CT3125106-01#0666)
AXA Hong Kong

Compliance Manager, Architas

AXA Hong Kong

Objective

Principal objective is to perform compliance monitoring over Architas business activities to ensure Architas' compliance with applicable regulatory requirements and expectations, by overseeing company policies & practices, and providing guidance to Investment, Distribution, Proposition, Marketing, Operations, Legal, Finance, HR and Risk to address regulatory issues and effective management.

The role is also available for those looking for flexible and/or part-time work.

Key responsibilities

Reporting to the Head of Legal & Compliance Asia; support management of Architas' relationship with financial regulators (the SFC and the relevant regulators in other jurisdictions, where applicable) and government authorities, and play an advisory role to colleagues on regulatory requirements. Support governance arrangements, conduct monitoring & proactively mitigate any regulatory and reputational risks for the business. Key responsibilities include:

  • monitoring licensing matters (license applications of new joiners and post-licensing reporting) and manage notifications, reports and communications with the SFC, with oversight of Head of Legal & Compliance & CEO.
  • review & sign off marketing materials.
  • monitoring new client onboarding process and review AML/KYC checks and financial sanctions screening; and perform monitoring on financial crime related issues
  • Provide advice in relation to regulatory investment restrictions, work with Risk team to monitor investment compliance.
  • Develop and implement annual compliance monitoring plan, including compliance monitoring on cross-border activities; review and update compliance policies annually; provide compliance training to new joiners and to all staff annually.
  • Review and analyse the impact of any new regulations and develop policies and procedures; and advise business units on the implication of new regulations and track the business units' implementation of processes to meet the regulations.
  • Provide Company Secretarial support, manage filings with Company Registry, organize board meetings and draft board minutes.
  • provide input on new products & services from regulatory perspective.
  • Support ad-hoc projects, including regional initiatives.
  • 5-10 years work experience with asset managers, in the areas of Compliance, Operational Risk or Audit, or with the regulators, or compliance consulting firms
  • Strong knowledge of the SFC regulations including but not limited to SFC Code of Conduct on licensed persons, Fund Manager Code of Conduct and Code on Unit Trusts and Mutual Funds
  • Good experience in handling matters related to SFC authorised funds
  • Experience in handling matters ranging from distribution/marketing compliance, AML/KYC, regulatory advisory and investment compliance
  • Chinese language ability is essential (capable of reading traditional Chinese)

Requirements:

  • 5-10 years work experience with asset managers, in the areas of Compliance, Operational Risk or Audit, or with the regulators, or compliance consulting firms
  • Strong knowledge of the SFC regulations including but not limited to SFC Code of Conduct on licensed persons, Fund Manager Code of Conduct and Code on Unit Trusts and Mutual Funds
  • Good experience in handling matters related to SFC authorised funds
  • Experience in handling matters ranging from distribution/marketing compliance, AML/KYC, regulatory advisory and investment compliance
  • Chinese language ability is essential (capable of reading traditional Chinese)
More job information
Job ref no. 210001BH_1612496072 (CT3125106-01#0666)
Salary
  • 40,000 - 80,000 / month
Job Function
Industry
Location
  • Quarry Bay
Employment Term
  • Permanent
  • Full-time
Experience
  • 5 years - 10 years
Career Level
  • Middle management level
Education
  • Degree
Benefits
  • 5-day week
  • Competitive pay
  • Dental plan
  • Discretionary bonus
  • Insurance plan
  • Medical plan
  • Special / extra leave
  • … + 2 more