ASIA COMPLIANCE
Provide compliance oversight by providing compliance advice, review and monitoring of the relevant business areas. To implement and maintain an effective compliance risk management program, to monitor and mitigate relevant compliance exposures according to the applicable laws and regulations. Liaise with business units to develop operational processes to prevent, detect and monitor potential compliance violations and control weaknesses. Ensure timely resolution on corporate compliance policies, regulatory liaison reporting, investment compliance, product development, sales and marketing practices, licensing and registration requirements, distribution etc. Deliver compliance services to the operations in Asia territories, ensuring effective compliance risk management controls and processes are in place to comply with regulatory requirements and company policies and procedures. Provide technical and policy interpretation assistance and oversight to Asia business and liaise with local regulators on compliance issues and examinations. Monitor compliance control effectiveness. Perform quality assurance reviews and testing on compliance controls. Provide training to territory compliance teams on compliance database, regulatory requirements, company policies and procedure. Establish compliance awareness and culture in territories’ operations. Assist in ad hoc projects, reviews and special investigation.
To qualify, you will be a degree holder with a minimum of 10 years of experience in Legal Compliance or Audit within the financial industry, preferably in asset management industry. Familiar with legal and regulatory requirements for funds. Strong background or experience in reviewing and identifying weaknesses in compliance control processes, particularly in asset management industry. Excellent inter-personal and communications skills.
Interested applicants should send a detailed resume to Michelle Ho by email to mho@ric.com.hk or by fax to (852) 2838 3323 quoting reference eFC2038.
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)
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