AVP, Compliance

Job description

​Principal Duties & Responsibilities:

This role will be required to provide assistance in various functional areas, which may include:

• Advise management and WM&B and Asset Management on compliance related matters/ issues.

• Advise the institutional business, including the institutional sales; strategic financing; DCM sales and trading, etc, on compliance related matter/issues.

• Keep abreast of the latest legal and regulatory requirements that apply to the company, and promote compliance awareness and compliance culture of the company (by preparing compliance training materials, conducting compliance trainings, etc.).

• Assist the VP to handle product advisory within relevant divisions e.g. WM&B; Funds Management; China Business; Institutional Equities, such as product review, marketing materials review, etc.

• Review new products/ services from a compliance perspective.

• Liaise and handle enquiry from headquarter.

• Perform follow-up reviews/ checks to ensure that findings/ issues identified by regulators, external auditors and internal auditors are promptly rectified, and recommendations from them (and agreed by the company) are implemented on a timely basis.

• Prepare and establish compliance policies & procedures (“P&P’) and related guidelines, and (ii) review and comment on P&P, marketing materials, advertisements, etc. prepared by other departments/ business units, to ensure compliance with applicable internal, legal and regulatory requirements.

• Liaise with business, operations and risk management units, auditors and regulatory authorities on compliance related matters/ issues.

• Other Compliance tasks and responsibilities as needed from time to time.

Qualification

• University degree in Accounting, Business, Law or related discipline

Experience

• 5 years solid experience in compliance, audit or related field in the financial services sector or with regulatory authorities

• Experience in performing compliance or similar training, development of policies and procedures (and related guidelines), and the conduct of compliance review and investigations.

Knowledge / Other

• Sound working knowledge of (i) the SFO and subsidiary regulations; and (ii) other regulations which may be relevant to the Company’s business activities (e.g. those enforced by CIB, MPFA, SEHK, HKFI).

• Good command of written and spoken English and Chinese.

• Strong ethics, integrity and enthusiasm.

• Good leadership, communications (oral & written), interpersonal, analytical and presentation skills.

If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, nestor.roldan@charterhouse.com.hk Web: www.charterhouse.com.hk

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