Vice President, Compliance | Product and Business advisory compliance | Hong Kong
- Advise management and relevant business units on compliance-related matters.
- Advise management and relevant business units on compliance-related matters/ issues, including the review of new products/ services from a compliance perspective.
- Develop policies & procedures and related guidelines; and review and comment on P&P, marketing materials, advertisements, etc. prepared by other departments/ business units, to promote compliance with applicable legal and regulatory requirements.
- Liaise with management, business, operations and other relevant departments, auditors and regulatory authorities on compliance matters and issues.
- Perform follow-up reviews to verify the implementation of recommendations from regulators, external and internal auditors, assist to resolve compliance-related findings and issues identified.
- Keep abreast of the latest legal and regulatory requirements that apply to the company. Promote compliance awareness and compliance culture (including preparation of compliance training materials and conducting compliance training).
- Design compliance surveillance programs and conduct compliance monitoring and reviews on products and business units under the VP’s responsibility area. Handle ad-hoc investigations, customer complaints, suspicious transactions reviews etc. Report any non-compliance in accordance with protocols and suggest actions for resolution, compliance improvement planning etc.
- University degree in Accounting, Business, Law or related discipline
- 7 years solid experience in compliance, audit or related field in the financial services sector or with regulatory authorities
- Experience in performing compliance or similar training, development of policies and procedures (and related guidelines), and the conduct of compliance review and investigations.
- Sound working knowledge of (i) the SFO and subsidiary regulations; and (ii) other regulations which may be relevant to company's business activities
How to Apply Please write in to kita.ng @recruit-legal.com with your full resume (in MS-Word format), stating your current (if applicable) and expected salary, and availability. Alternatively, please click the "Apply Now" button below or call Kita at (852) 2169 0868 for a confidential discussion.