Job ref no.: JR00047967
Sun Life Hong Kong Ltd

Senior Compliance Manager

Sun Life Hong Kong Ltd

Job Description

Implements regulatory and legislative requirements and provides input on polices and practices that guide compliance. Monitors complaints and contraventions of ethical standards. Prepares reports and presents findings to senior management. Implements compliance audits and reviews related to products and services

1. Mitigation of Compliance Risk

  • Identify and assess the key compliance risks applicable to the business functions in BestServe and maintain an inventory of the compliance risks applicable to our pension business;
  • Provide opinions on matters that bear potential compliance risk and escalating them through appropriate channels;
  • Assess that adequate controls are established to enable compliance with regulatory requirements and corporate policy.
  • Conduct compliance training to increase staff awareness to comply with regulatory requirements and corporate policy

2. Identify and monitor implementation of changes of regulatory requirements and corporate policy

  • Communicate changes of regulatory requirements and corporate policies to relevant business units in BestServeMonitor progress on implementation of measures and controls by business units to cope with the changes and submit report of progress and results to Board, SLHK, BUCO and SCO.
  • Conduct compliance training to communicate new requirements to staff of BestServe

3. Report to Board, Senior Management SLHK Business Unit Compliance Officer (BUCO) and regional/enterprise compliance offices (EC)on compliance matters

  • Submit compliance reports / presentation to senior management, SL Trustee Board of Directors, SLHK BUCO and EC
  • Assess and reports status of BestServe in compliance with regulatory requirements and corporate policy to SL Trustee, BUCO and EC
  • Escalate compliance issues, non-compliance incidents to senior management, SLHK BUCO and EC according to mechanisms provided in applicable internal guidelines.

4. Formulate and implement annual compliance plan

  • Set up annual compliance plan for Compliance Function of SL Trustee
  • Implement annual compliance and report progress in regular reports submitted to SLHK, BUCO and EC

5. Coordinate compliance related projects as assigned by SLHK, BUCO and EC.

  • Monitor progress of compliance related projects with schedule
  • Report progress of projects to SLHK, BUCO and EC

We offer 5-day work, attractive salary, MPF, group life and group medical insurance; and excellent career development opportunities to the right candidate.

We are an equal opportunity employer and welcome applications from all qualified candidates. Application forms and resume will be kept for a period of 24 months after completion of the recruitment process. (All information will be held in strict confidence and only be used for recruitment purpose).

More job information
Job ref no. JR00047967
Salary
Job Function
Industry
Location
  • Kowloon City
Employment Term
  • Permanent
  • Full-time
Experience
    N/A
Career Level
  • Middle management level
Education
  • N/A
Benefits
  • 5-day week
  • Competitive pay
  • Dental plan
  • Discretionary bonus
  • Insurance plan
  • Medical plan
  • … + 1 more