Senior Compliance Manager

Level: Vice President

Client: International Investment Bank

Location: Hong Kong

Reports to: Head of Compliance

Company Overview:

The organisation is Asia’s leading capital markets and investment group, connecting global investors to insights, liquidity and capital to drive their investment strategies. Award-winning research, an extensive Asia footprint, direct links to China and highly experienced finance professionals differentiate our innovative products and services in alternative asset management, corporate finance, capital markets, securities and wealth management. As the international platform of China’s largest investment bank, the organisation is uniquely positioned to facilitate cross border capital flows and bridge China to the world and the world to China. Founded in 1986 and headquartered in Hong Kong, the organisation operates from 20 cities across Asia, Australia, the Americas and Europe.

Position Description:

The Senior Compliance Manager will supervise the Central Compliance team in performing Licensing matters, Staff Dealing and Compliance Declarations monitoring, Disclosure of Interest and Regulatory inquiries processing. Registration and renewals of staff licenses, assisting in the development, implementation and maintenance of compliance monitoring programs as well as coordinating with regulators on inspections and perform tasks assigned by his/her manager from time to time.

Key Areas of Responsibility (KRA’s):

- Supervise teams located in HK, Singapore and India on handling Staff Dealing policies and monitoring program.
- Supervise a team of 3 staff in Hong Kong on handling all licensing and regulatory matters for 6 licensed corporations registered with the SFC under the group. Key person to handle Corporate license related issues, Sponsor Principal, Responsible Officer license applications and arrange the appointment of Manager-In-Charge (“MIC”).
- Advise on all SFC licensing matters.
- Handle various notifications including incidental / suspicious violation and ensure the SFC notification requirements are followed.
- Work closely with the group’s senior management for Staff dealing, licensing issues and advise on staff dealing and licensing inquiries from all levels.
- Supervise on SFC annual returns and ensure the deadline is strictly met.
- Responsible for renewal of Canadian International Dealer Exemption license.
- Handle regulatory requests, including ad hoc enquiries, SFC s181, s182 regulatory inquiries, ad hoc investigation, survey and follow up questions and monitor progress to ensure timely response to regulators.
- Responsible for Internal and External Auditors’ requests.
- Update Compliance documentation including Compliance notices and policies.
- Conduct compliance training & handle ad hoc projects and other tasks as assigned.

Requirements:

- Degree in Law/Accounting and/or other relevant professional qualifications.
- In-depth knowledge of Securities & Futures Ordinance, SFC licensing matters, rules and regulations.
- Proven experience as a supervisor in Central Compliance function, particularly in staff dealing.
- Minimum 5 years’ solid experience in compliance/audit in financial industry or financial services regulatory body.
- Understanding of investment products such as funds, bonds and/or securities, would be an advantage.
- Ability to work independently and manage multiple projects/assignments/responsibilities in a fast- paced environment.
- Proactive, analytical, alert to potential problems and resourceful in developing solutions.
- Self-motivated, result-oriented and attention to details.
- Excellent communication and interpersonal skills, able to work with stakeholders at different levels.
- Outstanding organizational, leadership and people management skills.
- Fluent in English, and Chinese (including Putonghua).
- Proficient in MS Word and Excel with IT knowledge is a plus.