Director - Compliance Solutions

4 days ago

Hong Kong Island, Hong Kong SAR China Waystone Full time

Compliance Solutions Hong Kong are looking to hire a new Manager in their Team.

In this role, you will have the opportunity to manage a portfolio of clients seeking regulatory advice. Our portfolio comprises a variety of businesses including hedge funds, investment banks, asset management companies, venture capital firms, leveraged forex traders, industry corporates, Fintech companies, and start-ups. We provide objective insights, subject expertise, and a simple approach to help our clients make sound decisions. We partner with our clients to serve all their compliance needs from the initial phase to ongoing support, monitoring, training, internal audit, risk management, and governance.

This role would suit someone proactive, who thrives in a fast-paced environment and enjoys multi-tasking. We can offer you the opportunity to work in a team environment, problem solve, be self-motivated, and influence others.

For this role, we need someone who can assist in managing the team and the clients in terms of day-to-day delivery of work. Team management is important for this role.

Does this sound like you?

ESSENTIAL DUTIES AND RESPONSIBILITIES
  • Lead day-to-day support of the compliance programs for various licensed entities in Hong Kong including licensed fund managers, broker-dealers, and payment service providers.
  • Provide technical expertise on complex regulatory issues, particularly those related to license applications and queries from the regulators.
  • Provide oversight on various compliance projects and ensure completion of projects within stipulated timelines.
  • Be a subject matter expert in relation to regulations pertaining to Hong Kong regulated financial institutions.
  • Assist in managing the team to drive service excellence.
  • Assist in the implementation of check and balance processes and corporate governance standards as per the client type, strategy, mission, and goals of the regulated entity.
  • Provide oversight and ensure proper implementation and maintenance of clients' compliance programs.
  • Assist in the development and implementation of compliance policies and procedures – ensure compliance policies and procedures are effectively communicated to the client, in accordance with the clients' regulatory requirements.
  • Assist in continuously monitoring relevant regulatory changes and assist in developing internal controls accordingly.
  • Track performance of the team in terms of delivery of services, efficiency of the team, and implement controls to improve business operations and service standards.
  • Assist in executing various internal projects such as the implementation of new workflows and systems to aid in the delivery of services.
  • Participate in business development calls where required to provide product/services knowledge.
  • Assist in producing various knowledge materials to be circulated to clients as well as internally.
  • Provide training to new joiners.
Education:
  • Bachelor's degree or internationally recognized professional qualification
Experience:
  • Minimum 10 years of regulatory compliance experience within a regulator, a regulated firm, or a consultancy.
  • Experience dealing with the MAS regulations, in particular the Securities and Futures Act.
  • Strong technical skills in compliance issues.
  • Experience managing a small team.
  • Experience with building policies and procedures around specific business models.
  • Good understanding of the financial services industry, in particular the asset management industry.
  • Team player, self-motivated, and meticulous.

What we can offer you:

We offer all our employees a competitive remuneration salary. You will be given the opportunity to progress your career within a Global company with a structured career path. Our benefits package includes healthcare and pension, life assurance, education scheme, and staff referral scheme.

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