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Job ref no.: CT3114387-01#7448

Compliance Officer- Financial Services 35-40k

Ambition

Our Client is one of the Investment Companies who is looking for a Compliance Officer to join their compliance team


Duties and Responsibilities

  1. Designs, implements, executes and maintains compliance procedures manual and Compliance Monitoring Program including the development of compliance standards and policies across Asia ex Japan (including Hong Kong, PRC and Korea). Conducts compliance testing, reporting and reviews marketing materials and regulatory filings.
  2. Manages SFC licensing matters, on-going obligations (e.g. CPT) fulfillment, annual returns filing and FRR financial returns filing.
  3. Administers "Global Code of Ethics" policy (e.g. personal account trading, gifts and entertainment and outside business interests).
  4. Administers the legal and compliance filing system.
  5. Works closely with International Legal and Compliance professionals as part of an integrated service, to ensure consistency in compliance practices. Provides training to increase the level of compliance awareness.
  6. Partners with other teams to analyze and resolve potential compliance issues and respond to changes in regulatory requirements.
  7. Manages, co-ordinates and ensures readiness for regulatory examinations in close cooperation with the other members of the Compliance team. Acts as a liaison for the examiners and co-ordinates the gathering and production of requested documentation and meetings, etc. Retains back up files for future reference.
  8. Develops and maintains a knowledge and awareness of investment industry, regulatory and/or policy changes with potential impact on local compliance monitoring or reporting. Serves as a technical expert on compliance issues and implements required policies and procedures in response to regulatory changes.
  9. Manages relationships by partnering with the business and investment unit leadership to respond to and meet needs. Consults with business on compliance issues including policy and procedural changes, and identifies areas for further technical, communication, and service improvement and development to reduce compliance risk.
  10. Participates in special projects and performs other duties as assigned.

 

Qualifications

  • An undergraduate degree or an equivalent combination of experience. Tertiary qualification in law and/or economics/ commerce preferred.
  • Minimum 3 years' compliance experience within a financial services compliance function.
  • Ability to function in high volume/fast paced environment working with multiple and diverse responsibilities.
  • Excellent interpersonal skills that command respect of business partners.
  • In depth knowledge of the Hong Kong compliance and regulatory laws.
  • Demonstrated planning and analysis skills.
  • Strong written and verbal communication skills in both English and Chinese.
  • Fluent in Cantonese/Mandarin and English


Contact Belinda Chan on (852) 3103 4313 or Apply Now by clicking the button below
www.ambition.com.hk
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More job information
Job ref no. CT3114387-01#7448
Salary
  • 35,000 - 45,000 / month
Job Function
Industry
Employment Term
  • Permanent
  • Full-time
Experience
  • 3 years - 8 years
Career Level
  • Non-management level
Education
  • Degree