Senior Compliance Generalist, 6 Month Contract

  • AUD0.00 per annum
  • Hong Kong
  • Contract, Full time
  • Morgan McKinley Hong Kong
  • 22 Sep 17

As a global professional recruitment consultancy, Morgan McKinley connects specialist talent with leading employers across multiple industries and disciplines. We have established ourselves as a preferred supplier to many of the major players in our specialist sectors, as well as with thousands of smaller local employers. Today, a worldwide network of offices and an international candidate management system offers our clients and candidates the best talent and opportunities from all corners of the globe. Visit www.morganmckinley.com.hk to see our latest jobs available. Visit www.morganmckinley.com.hk/CAH to access our resource centre to help you progress your career.

My clients are currently hiring experienced Compliance Generalists to support their funds business.

Responsibilities

  • Obtain required licenses for relevant individuals and corporate entities and ensure all licensed individuals meet their CPT / CPD requirements
  • Responsible for handling all licensing related matters; license application/ withdrawal, annual returns, notification and CPT
  • Maintain effective compliance risk assessment framework and perform compliance testing
  • Liaise with regulators and draft responses to regulatory enquiries
  • Complete (or coordinate the completion of) regulatory filings
  • Conduct compliance monitoring to ensure compliance with Fidelity internal policies and regulations, and formulate appropriate action plans to address anomalies and strengthen compliance controls
  • 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)

Requirements:

  • Over 5+ years of experience in regulatory compliance managers/compliance advisory/Licensing
  • Have an in depth understanding of the Hong Kong SFC and MPFA
  • Have experience in product due diligence work and review of marketing materials
  • Have excellent communication skills in both English and Chinese with experience interacting with senior level stakeholders who manage teams of sales, marketing, product development etc