VP, Compliance

Job description

​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.

Qualification

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

Experience

• 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, nestor.roldan@charterhouse.com.hk Web: www.charterhouse.com.hk

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