Compliance Manager/Director Compliance Manager/Director …

PSI Capital Asia
in Hong Kong
Permanent, Full time
Last application, 07 Mar 21
Competitive based on experience
PSI Capital Asia
in Hong Kong
Permanent, Full time
Last application, 07 Mar 21
Competitive based on experience
Established boutique multi-family office is looking for a highly motivated Compliance Manager/Director

The Role:

  • Provide compliance and regulatory advice and ensure that all compliance and regulatory requirements in relation to its SFC Type 1 and 4 licenses are met
  • Manage the relationships with external custodian banks 
  • Oversee all licensing matters with the regulator with respect to the Company and its licensed representatives
  • Assist Management in overseeing the day-to day operations of the Company to ensure compliance with regulatory requirements
  • Supervise and monitor the implementation of the compliance program for the Company
  • Periodically revise the compliance programme in light of changes in the needs of the Company, and in the regulations of the regulator or changes in legislations
  • Coordinate internal compliance review and monitor activities
  • Respond to regulator’s investigations and queries as the principal point of contact
  • Independently investigate and act on matters related to compliance
  • Report on a regular basis to Management and the Board on compliance matters
  • Develop and implement policies and procedures to ensure the Company and its employees adhere to the regulatory requirements 
  • Analyze and advise on regulatory, compliance and legal development related to AML/CFT
  • Ensure effective implementation of AML control framework for the Company
  • Implement AML/CFT policies and procedures
  • Provide appropriate employee training on regulatory related matters such as AML/CFT and ensure licensed representatives meet their continuing professional training obligations
  • Identify, investigate and report suspicious activities and transaction whilst being the liaison to external authorities, JFIU and law enforcement bodies on any issues related to money laundering/terrorist financing. 

Qualifications:

  • University graduate with a degree in Law, Business administration, Finance and Accounting or other related disciplines
  • Minimum 5 years of relevant SFC/HKMA, banking/finance compliance, auditing or big four regulatory consulting experience
  • Working experience with the SFC/HKMA or other regulators, or in private banking is highly desirable
  • Previous experience in directly dealing with SFC/HKMA requests/queries as point of contact would be a plus
  • Deep understanding of SFC/HKMA regulations, financial markets and private banking financial products
  • Excellent communication and presentation skills in English and Cantonese is preferred

 

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