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An outstanding opportunity has arisen to be a key resource in our client’s Distribution Compliance Team and to assist the Regional Compliance in ensuring compliance of distribution channels with regulatory requirements, both internal and external rules, codes and standards.
KEY RESPONSIBILITIES/CHALLENGES:
Working closely with the Financial Controller and the Regional Compliance team, you will play a key role in delivering the above objectives and providing an effective and proactive support to distribution channels as well as the business operations in Hong Kong. The specific responsibilities of the role include:
Contributing to achievement of full compliance with regulatory/ legislative requirements by developing best practice compliance frameworks and establishing compliant standards, policies and procedures.
Ensure distribution channels are fully informed and aware of their legislative/ regulatory/ internal obligations by developing and implementing comprehensive awareness training and conducting enhancement and communication programmes.
Ensure sales businesses are carried out in compliance with external and company policies, procedures and legislation by planning and conducting regular reviews, monitoring exceptional trends or patterns and imitating corrective action where appropriate.
Contributing to assessment of compliance risks in projects and developments by providing advice and expertise to the development, operations and procedures.
Support to resolve serious complaints by coordinate and conducting special reviews in relation to sales practices or distribution portfolio and provide advice on remedial and disciplinary actions in relation to proven misconducts.
Ensure a competent and motivated team of compliance officers are well trained, retained and developed. Coordinates assist and liaise with regulators and other law enforcement bodies in their investigations by maintaining active dialogues with the regulators and promptly providing information as requested.
REQUIREMENTS/SKILLS:
University graduate
Minimum 4 year’s relevant experience in performing auditing, internal control or compliance functions, or in a legal support position, preferably in financial institutions
Preferably completed the licensing exams for Insurance, MPFA and SFC
Strong knowledge with the Insurance Companies Ordinance, Securities and Futures Ordinance and Mandatory Provident Funds Schemes regulation
Strong knowledge of Insurance, MPF and SFC related operations, especially in financial planning
Proven management of audit & compliance programs
Good communication and presentation skills
Good command of both written and spoken English and Chinese
Strong interpersonal, leadership and management skills
To apply for this exciting opportunity please send your resume together with your expected salary to enquiries@charterhouse.com.hk
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