Associate Director - Business Compliance (6 Months Contract) Associate Director - Business Compliance (6 Months  …

Non-disclosed
in Hong Kong, Hong Kong, Hong Kong
Temporary, Full time
Last application, 18 Feb 20
Negotiable
Non-disclosed
in Hong Kong, Hong Kong, Hong Kong
Temporary, Full time
Last application, 18 Feb 20
Negotiable
Fidelity International holds the integrity of its business dealings as one of the core values of the organisation and therefore the role that the compliance function fulfils is critical.

Department Description

Fidelity International holds the integrity of its business dealings as one of the core values of the organisation and therefore the role that the compliance function fulfils is critical. The Department works in partnership with the business to ensure that all the appropriate regulatory controls are efficient and effective. The Department also works with local regulators and government bodies in influencing and shaping future requirements to protect investors.

Purpose of your role

To provide proactive and timely compliance support, advice and training on compliance matters in HK / PRC and Singapore.

Key Responsibilities

To develop our partnership with the Business and provide value-added services

  • Partner with, and offer value-added advice to, the business including, but not limited to, Private Banking, Wholesale, Institutional business, as well as to functional support areas on regulatory and compliance issues, and lead compliance projects/regulatory enquiries with minimal supervision
  • Monitor the quality of marketing materials
  • Monitor regulatory developments and updating the stakeholders on relevant changes and potential impact
  • Lead the advisory work to support SFC fund applications and new product approvals

To educate, influence and lead on key regulatory risks and control issues

  • Proactively identify, resolve and communicate compliance issues and trends
  • nhancere appropriately applied.nt regulators and government bodies in influencing and shaping future requirements to protect in
  • Assess implications of regulatory developments, including consultation papers on rule changes
  • Conduct training on compliance related matters to reinforce compliance principles

To enhance the oversight/ assurance framework to ensure compliance controls are appropriately applied

  • Develop and implement compliance procedures to ensure operational effectiveness and to produce reports for management information
  • Identify current regulatory gaps/ compliance weaknesses and propose rectification measures
  • Develop account opening and anti-money laundering policies (in conjunction with the AML Officer) and privacy policies (in conjunction with the Privacy Officer.

To work closely with regulators and other third parties in ensuring the integrity of the Company

  • Liaise with regulators and draft responses to regulatory enquiries
  • Independently respond to routine and ad-hoc compliance requests from internal and external sources
  • Liaise with trustee or external and internal auditors as necessary

Experience and Qualifications Required

  • Graduate plus CFA or CPA designation, with solid 8 to 10 years' working experience in compliance or in regulation
  • In depth understanding of Hong Kong SFC and MPFA, and CSRC regulations and the investment funds industry and securities markets
  • Excellent command of English and Chinese; proficiency in Mandarin would be an advantage
  • Strong analytical skills, problem-solving ability and attention to detail
  • Ability to work autonomously on day to day matters
  • Investigative and questioning nature
  • Ability to lead projects with minimal supervision
  • People management skills - influencing and leadership skills
  • Team player who is sensitive to the needs of the functional business units
  • Excellent inter-personal skills with various levels of management
  • Commitment and desire to make things happen
  • Ability to work in a fast-paced environment
  • Good PC skills (including Microsoft Word and Excel)

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