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Job Opening

Risk and Compliance Manager (Investment/Asset Management)

Roles and Responsibilities

  1. Responsible for driving and implementing the company’s compliance initiatives

  2. Develop, maintain and monitor the Compliance Plans and Risk Frameworks

  3. Developing and implementing a risk-based compliance monitoring program, identifying, assessing, monitoring and reporting all material compliance risks

  4. Provide experienced input into the development, management and maintenance of risk framework, incorporating management tools, techniques and reports to support the business.  These include, but are not limited to risk and control assessment, risk indicators and risk evaluation

  5. Resolve any compliance and risk issues and implement action plans to minimize and eliminate any future risks

  6. Ensure company employees are kept up to date and informed regarding company’s risk and compliance framework

  7. The incumbent will remain up to date with the regulatory requirements that regulates the function or its investments, and will administer the licensing of the appointed representatives of the function, as well as managing relevant statutory submissions that the conduct of the function business requires

  8. He/She will maintain and update the compliance manual for the function, administer the personal dealing requirements stipulated by the Group office for the function

  9. Review, approval and/or contribution to key documents e.g. IMAs, marketing material etc

  10. Identify and assess key emerging risks

  11. Investigating and reporting on actual or potential incidents and breaches

  12. Engagement with stakeholders and development of strong working relationships

  13. Work closely with Investment and management to ensure a strong comprehension of compliance obligations and risks

  14. Compliance Monitoring and Review

  15. Investigating and reporting on actual or potential incidents and investment breaches

  16. Review, approval and/or contribution to key documents e.g. IMAs, marketing material etc

  17. Other general business as usual duties

 

Job Requirements

  1. Degree in Business & preferably with professional compliance and risk qualifications

  2. Over 10 years of experience within a similar role within the financial services space

  3. Hands-on experience in implementing compliance and risk frameworks

  4. Good understanding of a wide variety of financial service products

  5. Understanding of the regulatory environment including SFC HK and Insurance Authority HK regulations

  6. Strong communication and interpersonal skills

  7. Resilient, hardworking and detail oriented

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