Compliance Manager, Vice President

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • BNY Mellon Investment Management
  • 20 Aug 18 2018-08-20

Compliance Manager, Vice President

BNY Mellon Investment Management, which is the umbrella name for all the investment management subsidiaries and affiliates within BNY Mellon, currently has a presence in 6 countries in Asia Pacific, namely Hong Kong, Singapore, Japan, Korea, Australia and China. The company also targets and services clients and distribution channels in other Asia Pacific countries. BNY Mellon Wealth Management is under the umbrella name of Investment Management and affiliated within BNY Mellon, Wealth Management has extensive network of offices in 18 states in United States and 4 countries. BNY Mellon Wealth Management has commenced business operations in Hong Kong in Q4 2014. We are looking for a Compliance Manager for the region, based in Hong Kong, the key responsibility will be to assist in the implementation of compliance advisory and monitoring regime in Asia (ex Japan) required to support the Investment Management and Wealth Management activities.

  • Ensure the Company and its licensed representatives' compliance with the registration and licensing requirements;
  • Prepare and submit regulatory filings to the local regulator and where applicable, regulatory notification and filing in other relevant overseas jurisdictions;
  • Keep abreast of the regulatory developments, interpret and provide advice on policies, regulatory requirements and impact, and control related processes;
  • Advice on AML-KYC/suitability requirements to ensure adherence with regulations and BNY Mellon corporate policies;
  • Review periodic compliance reports from delegates (within the BNY Mellon Asset Management group and based overseas) performing the investment management function on client mandates sourced in the region;
  • Review and perform clearance of regional and local marketing materials according to corporate and local regulatory standards;
  • Assist to carry out Compliance Risk Assessment and Monitoring Review for both businesses;
  • Perform Ad-hoc tasks and participate in projects.


    • Degree holder
    • Minimum 7 years of work experience in compliance/ legal/ audit/ risk function gained from international financial institutions. At least 5 years of compliance experience ideally with an asset management/ wealth management company.
    • Solid understanding of the rules and regulations in Hong Kong.
    • Knowledge and good awareness of the rules and regulations in China, Singapore, Taiwan and Korea will be an advantage.
    • Proven ability to work as an effective partner with the business while retaining objectivity, independence of thought and decision-making.
    • Demonstrated problem solving and analytical ability, and strong communication skills.
    • Good command of written and spoken English, capable of reading and reviewing materials and regulations in Chinese.

    For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark:

    As one of the world's leading investment management organizations and one of the top U.S. wealth managers, BNY Mellon Investment Management combines agility, insight and scale to create and deliver strategies and solutions to address our clients' needs. Encompassing BNY Mellon's investment management firms, wealth management organization and global distribution teams, we draw on deep expertise to collaborate with clients and tailor our best ideas and resources to meet their specific needs. We pride ourselves on providing dedicated service through our network of global professionals who have a deep understanding of local requirements. With our extensive experience in anticipating and responding to the investment and financial needs of the world's governments, pension plan sponsors, corporations, foundations, endowments, advisors, intermediaries, individuals and families, and family offices, BNY Mellon Investment Management is dedicated to helping clients reach their goals.

    BNY Mellon is an Equal Employment Opportunity Employer.

    Primary Location: Hong Kong-Hong Kong-Hong Kong
    Job: Compliance
    Internal Jobcode: 50343
    Organization: IM APAC-HR11404
    Requisition Number: 1808622

    Tags: EFC:APAC:5-A