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Advise management and relevant business units on compliance-related matters, including the review of new products/services from a compliance perspective
Develop policies and procedures and related guidelines; review and comment on P&P, marketing materials, advertisements, etc. prepared by other departments / business units, to promote compliance with applicable legal and regulatory requirements
Liaise with management, business, operations and other relevant departments, auditors and regulatory authorities on compliance matters and issues
Perform follow-up reviews to verify the implementation of recommendations from regulators, external and internal auditors, assist to resolve compliance-related findings and issues identified
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.
Lead the Compliance Advisory team to handle CIB, MPFA and Bullion registration matters
Keep abreast of the latest legal and regulatory requirements and promote compliance awareness and culture of the Group including preparation of training materials and delivery of compliance trainings
Degree holder in Accounting, Business, Law or related discipline
Minimum 7 years' relevant experience, preferably in compliance, audit, accounting or related experience in the financial services industry 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
Good knowledge of the Securities and Futures Ordinance and its subsidiary rules, as well as rules and guidelines of the SFC
Organized, diligent and attentive to details, with a strong sense of responsibility
Strong self-motivation and personal integrity, with good communication, interpersonal, analytical, presentation and problem solving skills
Good command of both written and spoken English and Chinese