Compliance Manager
The Job:
- Participate in defining and establishing Compliance Risk Management Infrastructure and monitoring the framework
- Participate in the annual compliance cycle planning, including the Compliance Chart update and monitoring test plans
- Conduct regular compliance risk assessments, execute the compliance monitoring plan and the related issues analysis, remediation and reporting to ensure adherence to compliance risk thresholds authorized by Governance Committees
- Advise business functions on compliance issues
- Participate in the review of sales, product and training materials for adherence to disclosures, suitability and other compliance requirements
- Ensure relevant Compliance Manuals and Policies are updated according to current legislative, regulatory and business requirements
- Conduct compliance training according to stipulated timelines
The Person:
- University degree in accounting, finance or law with a minimum of 5 years relevant experience.
- Professional qualification in accounting or law is an asset
- Knowledge of financial services industry and related legislative, regulatory (Insurance Authority, SFC) and generally accepted industry practices and professional standards
- Knowledge and experience with regulatory and compliance risk assessments including quantification and thresholds, internal control infrastructure and policy/guideline development.
- Knowledge and experience in advising on and reviewing customer on-boarding instruments e.g. Know-Your-Customer, marketing and product brochures and other relevant publications/materials for regulatory compliance and disclosures and suitability assessment.
- Teamwork, good communication and interpersonal skills
- Highly organized, flexible and able to assign priorities while attending to details
- Strong analytical and conceptual skill with business focus
- Able to work under time pressure and committed to quality deliverables within agreed timelines
We offer 5-day work, 20 days annual leaves, excellent learning development opportunities and an attractive package to the right candidate. Interested parties please send your full resume with current expected salary, education and working experience to Human Resources Department (2/F, 308 Des Voeux Road Central, Hong Kong) or email to recruit01@ing.com.hk or fax to 2850 3838.
Information collected will be treated in strict confidence and used solely for recruitment purpose. The company will retain all applications no longer than 12 months of which will be destroyed thereafter. We are an equal opportunity employer. We do not discriminate on the basis of race, sex, disability or family status in employment process.
Our Company has been acquired by Pacific Century Group and is no longer affiliated with ING Group or its affiliates. The trademarks of ING Group or its affiliates are used by the Company under license. For more details, please visit www.ing.com.hk
Leave a Reply
You must be logged in to post a comment.