Senior Compliance Officer

1 week ago

Hong Kong, Central and Western District, Hong Kong SAR China St. James's Place – Asia & Middle East Full time

The Senior Compliance Officer will be responsible for managing all licensing-related matters with the SFC, IA and MPFA. The role will conduct regular compliance monitoring reviews and manage and implement regulatory requirements and best practices set out by the regulators.

The Senior Compliance Officer will also be required to work closely with the Business to ensure that all staff, appointed representatives and those associated with the company are fully conversant with and adhere to all regulatory requirements and internal policies.

Key Responsibilities of the Job:

  • Advise and handle all licensing-related matters with the SFC, IA and MPFA, including licensing applications, CPD/CPT tracking, and license renewal for individuals and our corporate entities.
  • Act as point of contact with regulators for all licensing-related matters.
  • Manage the licensing function and its associated risks to the business, and escalate licensing risks to senior management in a timely manner.
  • Conduct regular reviews as part of the Compliance Monitoring Programme.
  • Monitor changes in local regulatory requirements and Group policies and procedures, and advise senior management of their impacts and any required changes to policies and procedures and oversee implementation of the necessary changes.
  • Develop compliance training materials and deliver regular training to Partnership and Business to ensure they are abreast of latest regulatory developments.
  • Manage the record keeping of relevant compliance activities and provide regular MI to management.
  • Coordinate and participate in ad hoc projects, review/investigations, risk assessments, and audit/regulatory inspections.

Requirements of the Job:

Job Knowledge:

  • Excellent understanding of rules and regulatory requirements of the SFC and/or IA.
  • Experience in auditing and/or compliance monitoring/reviews.
  • Relevant SFC and/or IA regulatory experience and/or relevant product knowledge is an advantage.

SJP Business Expertise:

  • A thorough understanding of the compliance, AML and risk management requirements of the regulators relevant to the investment advisory and distribution activities in Hong Kong.

Problem Solving:

  • Ability to exercise sound judgement and initiative in making recommendations to resolve compliance issues.
  • Strong analytical and critical thinking skills.

Nature and Scope of Impact:

  • A strategic approach to problem solving striking the right balance between compliance risk and commerciality.

Interpersonal Skills:

  • Flexible and open to change and new information.
  • Confident, influential and ability to develop strong working relationships with key people at all levels.
  • Confident about making decisions and giving advice independently.
  • Good verbal and written communication skills.
  • A capable team player who is self-motivated.

Special Requirements:

  • Degree holder with 2-4 years of working experience in the area of compliance, legal or audit in the wealth management industry.
  • Relevant compliance qualifications/certifications such as Governance, Risk & Compliance is an added advantage.
Seniority level
  • Associate
Employment type
  • Full-time
Job function
  • Legal, Other, and Quality Assurance
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