Manager/Senior Manager/Head of Risk and Compliance

1 month ago

Hong Kong, Hong Kong SAR China Omni Group Asia Ltd. Full time

Responsibilities:

Compliance:

  • Ensure compliance with all applicable SFC regulations, rules, and guidelines.
  • Develop and implement policies, procedures, and controls to ensure ongoing compliance with regulatory requirements.
  • Monitor and assess changes in AML regulations and update internal policies and procedures accordingly
  • Stay up-to-date with new and evolving regulatory requirements and ensure timely implementation of necessary changes.
  • Act as the main point of contact for regulatory authorities and manage regulatory inspections, inquiries, and reporting requirements.
  • Oversee and manage the external asset management function, including due diligence and selection of external managers.
  • Report regularly to the senior management and board of directors on risk and compliance matters, including significant issues, emerging risks, and regulatory developments.

Risk Management:

  • Establish and maintain effective risk governance frameworks, including risk appetite statements, risk tolerance levels, and risk reporting structures
  • Develop and implement risk mitigation strategies and action plans to minimize the likelihood or impact of identified risks.
  • Collaborate with relevant stakeholders to ensure the effectiveness of risk controls and procedures.
  • Conduct periodic risk assessments and compliance audits to identify and address any potential regulatory gaps or weaknesses.

Manager in Charge:

  • Prepare and present regular reports on the performance, achievements, and challenges of the assigned area to senior management and other relevant stakeholders.
  • Maintain accurate and comprehensive documentation, including policies, procedures, and records related to the area's activities

 

Requirements

  • Minimum 5 years of experience in risk and compliance management within the financial services industry
  • Prior experience working as a Manager in Charge (MIC) in a company regulated by the SFC under type 1, 4, or 9.
  • Professional certifications (e.g., CFA, CPA, CAMS) in compliance or risk management are highly desirable.
  • In-depth knowledge and understanding of SFC regulatory requirements and guidelines.
  • Proven track record of developing and implementing effective compliance programs and risk management frameworks.

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