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Regulatory Monitoring Manager

1 month ago

Hong Kong, Central and Western District, Hong Kong SAR China Vistra Full time

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It's never been a more exciting time to join Vistra.

At Vistra our purpose is progress. We believe that our clients have the power to change the world and to do great things for global progress, and we exist to remove the friction that comes from the complexity of global business – to help our clients achieve progress without friction.

But progress only happens when people come together and take action. And we're absolutely committed to building a culture where our people can do just that.

We have an exciting opportunity for you to join our team as Regulatory Monitoring Manager. Reporting to the Head of Ongoing Monitoring, this contract position is based in Hong Kong / Mumbai, allowing you to make a significant impact to our Global Incorporations Services and its growth.

Key responsibilities:

  1. Manage Compliance Operations, including executing processes in accordance with compliance policies and overseeing the operationalization of the Compliance control environment.
  2. Responsible for management and oversight of Beneficial Ownership operations within Vistra Global Incorporations, including leading and/or closely collaborating with the dedicated BO teams (in India, Macau, China and Hong Kong), local offshore jurisdictions, and other relevant operations and compliance teams.
  3. Lead and closely collaborate with relevant stakeholders to ensure successful Beneficial Owner operational implementation across Vistra GI.
  4. Perform training on GI's compliance operations and regulatory updates to GI's relationship managers and business partners.
  5. Closely collaborate with the periodic review teams to ensure Vistra's annual regulatory compliance obligations.
  6. Stay up to date of any changes to processes and procedures, regulatory change and ensure impacts are communicated to relevant stakeholders.
  7. Provide reporting to senior management and ensure delivery of targets within timelines dictated by BAU and ad-hoc regulatory remediation projects.
  8. Collaborate closely with the Head of Client Acceptance on new client onboarding and implement process enhancements to improve the client onboarding experience.
  9. Monitor the performance of key compliance controls and support other key regulatory filings.
  10. Conduct root cause analysis when exceptions to processes are found, leading follow-up activities.
  11. Liaise regularly with the business to conduct workload planning, prioritize open requests and ensure continuity of information flow across departments.
  12. Responsible for escalating and managing key risks/issues to the Director of Compliance Operations.
  13. Implement process improvements, provide guidance and support on key process and technology improvements to the business.

Key requirements:

  1. A minimum of 5 years of experience within TCSPs or other relevant industry.
  2. A sound understanding of the clients, services, people, processes and data associated with the relevant component.
  3. Experience of operational improvement projects and initiatives.
  4. Has a vision of how the component could/should be evolved and operated to meet the needs of the business and strategy.
  5. Proven ability to successfully implement and drive organisational change.
  6. Ability to make decisions on behalf of the wider global business and/or able to ensure that decisions are escalated and arrived at in a timely manner.
  7. Experience of working with business systems and applications in a financial/professional services organisation.
  8. Business analysis experience and ability to work closely with senior management to identify and implement efficiencies and continuous improvement.
  9. Professional fluency in written and oral English.

Company Benefits:

At our Hong Kong/ Mumbai office, we believe in putting our employees' well-being first We offer a flexible hybrid working arrangement and Celebration Leave.

Additionally, we provide comprehensive medical insurance, wellness allowance and competitive annual leave entitlement to support your well-being and time to recharge or explore your passions out of work.

If you are excited about working with us, we encourage you to apply or have a confidential chat with one of our Talent Acquisition team members. Our goal is to make this a great place to work where all our people can thrive. We hope you join us on this exciting journey

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