Manager / Senior Manager, Compliance, Enterprise Asset Management

7 months ago

Hong Kong, Hong Kong SAR China Sun Life Full time

Job Description

:

Job Accountabilities

Compliance Monitoring and Testing – perform compliance testing, monitoring, and surveillance to demonstrate and attest compliance with applicable laws and regulations and in-house policy guidelines.

Perform compliance testing, thematic reviews and monitoring on key regulatory requirements and issues, including securities regulations from US, Canada, UK, Hong Kong, Singapore, Philippines, etc. Perform compliance testing and monitoring on for relevant areas of asset management compliance program (Portfolio Management & Trading, Ethics, Marketing and Distribution, Accuracy of Disclosures, ESG, Valuation, Fees and Expense Allocations, Records Management, etc.) Conduct regulatory exam preparedness exercises, including mock exams and validation testing of regulatory exam and internal audit findings. Apply data analytic techniques to perform monitoring and testing to increase scale and depth of analysis, create impactful visualizations, and explore potential data relationships. Document test work and prepare test reports describing testing performed and results. Identify and offer recommendations resulting from testing and collaborate with business partners to assist in developing remediation plans to ensure the areas of concern are addressed in a timely manner. Track the status of outstanding remediation plans and work with business partners to obtain updates, ensure due dates are met, and confirm remediation. Build and maintain strong relationships with business partners and Compliance leaders, to maintain engagement and to assist in escalating significant compliance monitoring and testing matters that require attention or action and identify compliance risks and proactively evaluate compliance controls. Collaborating with Compliance, Internal Audit and Risk Management sharing ideas to develop, where appropriate, testing consistency or to coordinate testing activities.

Regulatory Compliance Management – Assist Enterprise Asset Management Compliance team to manage regulatory compliance for investment related obligation via RSA Archer platform:

Research on newly enacted regulations, regulatory framework for high-risk business processes/conflicts of interests and current regulatory enforcements issued to investment advisers and related trends. Perform and review risk assessments for regulations. Coordinate and review the control documentation and effectiveness to address the regulatory obligations Coordinate and review the compliance issue to identify trends. Prepare related training materials and presentations as requested.

Reporting – Assist and prepare timely management of reports and escalation of regulatory and compliance issues

Assist in the integration of the Firm’s regulatory compliance management reporting (Archer), as well as other related programs that may arise. Collaborate with local compliance teams on quarterly compliance reporting, regulatory examinations, and ad- hoc investigations into potential misconduct.

Projects – Participate in deliver compliance initiatives across the Local Business Units, Asia Region, and Enterprise Compliance.

When needed, collaborate with Ethics, Fraud, Privacy, and AML teams for assistance with monitoring and oversight of each respective program.

Job Requirements

Bachelor's degree in Accounting, Finance, Law or any relevant fields Advanced degree and/or professional certification (i.e., CFA, CPA, MBA) a plus At least 5 years of solid compliance testing, audit for Asset Management industry experience or regulatory supervisory experience. Familiarity with trading systems (e.g. Bloomberg, Aladdin, Charles River), and data analytics tools (e.g. Tableau, Power BI, SQL, Python, R) a plus. Knowledge of regulatory framework and requirements by US, Canada and Asian regulators such as Hong Kong’s SFC, Singapore’s MAS, the Philippines BSP, the SEC from the United States, OSFI & OSC for Canada, the FCA for the UK or ASIC for Australia, etc. Strong desire to develop business acumen and working knowledge of products offered across SLCM and Sun Life Asia public bonds, private placements, commercial mortgages, infrastructure equity, mutual funds/trusts, etc.). Strong desire to enhance knowledge of securities regulations globally (i.e., SEC-Investment Advisor Act, SFC-Fund Manager Code of Conduct, OSC Securities Act, etc.). Broad knowledge of the asset management compliance requirements of at least one leading securities regulator (Hong Kong’s SFC, Singapore’s MAS, the Philippines BSP, the SEC from the United States, OSFI & OSC for Canada, the FCA for the UK or ASIC for Australia).  Ideally deep technical knowledge of a specific investment compliance discipline, for example portfolio monitoring and investment compliance, or forensic testing. 

Job Category:

Compliance

Posting End Date:

18/07/2024

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