You will be monitoring and participating in all compliance programs for an asset management company and be the key contact for all regulatory distributions by providing strategic direction in ensuring the regulatory and operational risks being faced by the digital business are adequately addressed and executed.
- Develop tools, processes, practices and reporting required to build and maintain robust risk and compliance frameworks.
- Conduct and facilitate compliance and assurance activities relating to the company’s compliance framework, including the development and maintenance of operational compliance plans
- Manage and strengthen compliance programs including regulatory compliance, sales compliance, product compliance, AML, data privacy and FATCA
- Identify and respond to regulatory compliance risks and manage those risks.
- Respond to regulatory queries and investigations and draft regulatory consultation papers
- 8+ working experience in the financial services industry
- 3+ years risk and compliance management experience
- Understand industry and global best practice in financial services operations and products
- Regular knowledge and experience on AML / FATCA / SFC / KYC / HKMA / CBIRC
- Strong presentation and report writing skills with proficient in verbal and written English, Cantonese and Mandarin
- Outstanding interpersonal, communication and analytical skills