Manager/Senior Manager, Compliance

  • Competitive & Negotiable
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Hywin International
  • 20 Sep 18 2018-09-20

Hywin Financial Holding Group was established in 1989, headquartered in China’s international financial center – Shanghai. Currently, the group has more than 20 wholly-owned and controlled subsidiaries, over 5,000 staff, and more than 100 billion Chinese yuan in assets under management. Our business network covers the entire world, including over 50 Chinese cities, Hong Kong, the US, the UK, and other countries and regions. Hywin International is wholy-owned by Hywin Financial Holding Group.

Job responsibilities:

  • To act as the overall subject matter expert of the compliance function for the Company;
  • To be responsible to develop, initiate, maintain, and revise policies and procedures for the general operation of the compliance monitoring program and its related activities.
  • To be responsive to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures.
  • To act as an independent review and evaluation body to ensure that compliance issues/concerns within the Company are being appropriately evaluated, investigated and resolved, including but not limited to investment compliance, KYC & AML issues etc.
  • To monitor and coordinate all compliance activities within the Company, and to remain abreast of the status of all compliance activities, to identify trends as well as potential areas of compliance vulnerability and risk.
  • To develop/implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future.
  • To foster healthy business relationships with both relevant regulators and compliance advisory firms.

Job requirements:

  • Holding a university degree is a must;
  • Highly knowledgeable of Securities and Futures Ordinance and the applicable statutory and regulatory requirements;
  • 5+ years of solid and hands-on work experience in compliance is required yet preferably in the private banking and/or wealth management sectors;
  • Work experience in reputable financial institutions and compliance advisory firms is welcome;
  • Good command of Cantonese English, and Mandarin is desirable.