SENIOR COMPLIANCE MANAGER recruitment
Responsibilities:
• advise management and assist the compliance functions in complying with all relevant external regulations and internal codes and policies and good market practices. Apart from business specific rules additional responsibilities include Anti-Money Laundering (AML), sanctions, and anti-bribery
• assist the Compliance ASP teams in managing relevant regulatory issues (e.g. MPF)
• undertake ad hoc projects, as required by/agreed with the Head of Compliance, ASP
• help line management meet responsibilities for complying with applicable Regulations and thus protect the good reputation of the Group, avoid disciplinary action by the regulators; avoid civil action by customers and avoid related criminal sanctions (e.g. money laundering, insider dealing, creating a false market)
• demonstrate to the regulatory authorities (e.g. MPFA) that it is fit and proper to undertake its business
Requirements:
• degree holder in Law, Finance or Accounting, with experience in Asset Management/ Securities Services/AML Compliance
• minimum of ten years’ experience, either through a major compliance department, a legal or accounting firm, regulators or in a “hands-on” risk management/operations/control orientated role
• strong MPF, Anti-Money Laundering (AML), Compliance experience in Hong Kong and Asia Pacific with solid hands-on regional responsibilities are definite advantage
• strong communication and interpersonal and analytical skills with proficiency in both written and spoken English
• high level of integrity and diplomacy in dealing with sensitive situations
• patient and flexible in dealing with diverse groups of people and issues, and able to manage multiple priorities independently
• potential to spread wings with the world’s local team
If you would like to apply for this role or find out more, please apply online or contact Gina Hui at Robert Walters on (852) 2103 5371 or gina.hui@robertwalters.com.hk quoting the Job Reference GHH/401980.