Assistant Manager, Regulatory Compliance and Financial Crime Compliance
Level: AVP/VP
Client: Multinational Asset Manager
Location: Hong Kong
Our Organisation:
We provide clients with high quality long-term investment capabilities managed by independent, specialist teams
We are stewards of AUM AU$220 billion on behalf of institutional investors, pension funds, wholesale distributors and platforms, financial advisers and their clients worldwide
Our investment capabilities include Australian and global equities, global emerging markets and Asia Pacific equities, direct and listed infrastructure, fixed income and multi-asset solutions, systematic equities and listed property
We believe investment success is achieved by bringing together autonomous teams of investment specialists who share a commitment to responsible stewardship.
Position Purpose:
The primary purpose of this role is to implement effective process to support the First Sentier Investors regulatory compliance and financial crime compliance framework in Hong Kong.
As an influential member within the team, the role will also support the other key activities of Regulatory Compliance and Financial Crime Compliance teams as detailed below.
Key Responsibilities:
Support the regulatory and financial crime compliance requirements of the business including:
Licensing matters and regulatory filings.
Review of marketing materials, RFPs and due diligence questionnaires.
Provide support in Financial Crime Compliance advice, including AML, ABC and Sanctions
Provide support in regulatory inspections, internal and external audits.
Keep abreast of the latest regulatory requirements and support the team on analysing the regulatory requirement applicable to business.
Handle ad hoc projects as required.
Support the implementation of the operational and compliance risk management frameworks including: Assist Regulatory Compliance & FCC teams in oversight of compliance & FCC risks, control and assurance testing, oversight of issue and incident management.
Assist business stakeholders with design and implementation of compliance & FCC best practice and process and control improvements.
Assist Internal and External Client/ Customer Service;
Provide advice and support to business including projects and initiatives as required.
Prepare / review high quality reporting to internal and external stakeholders.
Provide support to formulate, review and update compliance policies, procedures and/or training.
Assist MLRO, Hong Kong and Global FCC in Financial Crime Risk assessment and evaluation such as financial crime Country Risk evaluation or Inherent ML/TF and Sanction Business Area Risk assessments.
Required Capabilities:
Sound work experience in Compliance/FCC/Risk in financial services ideally gained from the asset management industry.
Strong understanding of SFO, AMLO, SFC & MPF Codes & Guidelines and AML Guideline.
Bachelor’s degree in Finance, Commerce, Law, Accounting or related discipline.
Proactive attitude with ability to multitask and deliver on time high quality work with a sense of urgency.
Ability to work well in a team environment, collaborate with business and other functions in Country, Region and Group levels.
Verbal and written English fluency, Chinese and / or Mandarin is an advantage.
Ability to plan and implement small projects and initiatives.
Fast learner and curious.
High level of ownership and responsibility for allocated work.
Attention to detail and quality standards.
Customer service focus.
Critical thinking.
Proactive attitude with ability to multitask and deliver on time high quality work with a sense of urgency.
Ability to work in a team environment, collaborate with business and other functions in Country, Region and Group levels.
Process improvement and streamlining focus.
Ability to schedule and deliver a large number of recurring deliverables.
Good judgement regarding prioritisation of tasks; taking the lead; and escalation.