Principal Duties & Responsibilities:
Reporting to the SVP, the VP will be required to provide assistance in various functional areas, which may include:
Dealing with the regulators to handle the general enquiries, onsite inspection, thematic review, investigation, including butnot limited to s.181, s182 & s.183.
Manage FATCA/ CRS compliance and other upcoming common reporting standard.
Handling customer’s complaint and assist in liaison.
Design compliance surveillance programs and conduct compliance monitoring and reviews on products and business units under the VP’s responsibility area.Handle ad-hoc investigations, customer complaints, suspicious transactions reviews etc.Report any non-compliance in accordance with protocols and suggest actions for resolution, compliance improvement planning etc.
Perform follow-up reviews to verify the implementation of recommendations from regulators, external auditors and internal auditors, assist to resolve compliance related findings/ issues identified by them.
Advise management and relevant business units on compliance-related matters/ issues and ensure compliance with all relevant internal and external regulations.
Keep abreast of the latest legal and regulatory requirements that apply and promote compliance awareness and compliance culture (including preparation of compliance training materials and conducting compliance trainings).
Ad hoc tasks on requests.
University degree in Accounting, Business, Law or related discipline
7 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 business activities (e.g. those enforced by CIB, MPFA, SEHK, HKFE)
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, email@example.com Web: www.charterhouse.com.hk
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