COMPLIANCE MANAGER, SECURITIES SERVICES – HK / ASIA recruitment
Our client is a major global financial services provider engaged in investment banking, private banking and investment management services with an extensive international presence. To cope with their business expansion, they are seeking an experienced professional to join them.
Provide compliance support for the business in HK or regionally. Provide compliance and regulatory advisory on an ongoing basis for the business and associated support functions, including advice on existing and new Hong Kong banking regulations and relevant SFC regulatory requirements. Evaluate compliance with relevant regulations, issue identification, assessing the impact of regulatory change and working with business management to build and maintain control mechanisms to remain in compliance with laws and regulations and to protect the reputation and franchise of the business. The role will review new business initiatives, operational procedures and major operational and systems changes from a regulatory perspective. Responsible for managing and coordinating consultation exercises and industry group discussions, and managing relationships with key regulatory agencies such as the SFC, HKMA etc. Be the primary contact person with the HK regulators and will drive HK regulatory projects and applications, handle regulatory enquiries and investigations and lead management of regulatory inspections.
To qualify for the position, you should be a University graduate with a minimum of 5 years regulatory or risk management experience gained within a financial institution or regulator. Demonstrable experience conducting compliance risk assessments and testing. Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with senior business partners. Strong analytical, problem-solving and organizational skills and the ability to manage several simultaneous projects. Knowledge or experience of relevant regulatory requirements and their practical application in operational process or product features. Excellent business judgment and strategic thinking. Proven ability to communicate effectively in English at all levels both orally and in writing. Self starter and strongly motivated to achieve higher standards over time. Ability to deliver high quality results as part of a geographically dispersed global compliance team.
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 eFC1834.
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)