Compliance Manager

3 weeks ago

Hong Kong, Central and Western District, Hong Kong SAR China Sun Life Full time
Job Title: Compliance Manager

At Sun Life, we are seeking a highly skilled Compliance Manager to join our Enterprise Asset Management team. As a key member of our compliance team, you will play a critical role in ensuring that our business operations are in compliance with relevant laws, regulations, and internal policies.

Key Responsibilities:
  • Perform compliance testing, monitoring, and surveillance to demonstrate and attest compliance with applicable laws and regulations and in-house policy guidelines.
  • 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.
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.

  • Compliance Manager

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China Bank of China Full time

    Job SummaryWe are seeking a highly skilled Compliance Manager to join our team at Bank of China. The successful candidate will be responsible for formulating compliance standards, plans, and objectives, as well as streamlining compliance processes and drawing up compliance staffing and authorization systems.Key ResponsibilitiesAssist in the development and...

  • Compliance Manager

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China HKMC Annuity Limited Full time

    {"h1": "Compliance Manager", "p": "We are seeking a highly skilled Compliance Manager to join our team at HKMC Annuity Limited. As a key member of our compliance function, you will be responsible for providing compliance review and advisory, developing and updating compliance policies and guidelines, and promoting compliance awareness and culture within the...

  • Compliance Manager

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China HKMC Annuity Limited Full time

    {"h1": "Compliance Manager", "p": "We are seeking a highly skilled Compliance Manager to join our team at HKMC Annuity Limited. As a key member of our compliance function, you will be responsible for providing compliance review and advisory, developing and updating compliance policies and guidelines, and promoting compliance awareness and culture within the...

  • Compliance Manager

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Gravitas Recruitment Group Full time

    Compliance Manager/Senior ManagerGravitas Recruitment Group is seeking a seasoned Compliance Manager to join our client, a reputable corporate bank in the industry. This role will provide an opportunity to take on a wide range of compliance and regulatory responsibilities, ensuring the organization's compliance framework is robust and aligned with regulatory...

  • Compliance Manager

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China HKMC Annuity Limited Full time

    Job Summary:We are seeking a highly skilled Compliance Manager to join our team at HKMC Annuity Limited. The successful candidate will be responsible for providing compliance review and advisory services to ensure that our business operations are in line with regulatory requirements.Key Responsibilities:Develop and update compliance policies and guidelines...

  • Compliance Manager

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Haitong International Securities Group Limited Full time

    Job Title: Compliance Manager - Trade SurveillanceHaitong International Securities Group Limited is seeking a highly skilled Compliance Manager to join our team. As a key member of our compliance function, you will be responsible for managing our daily trade surveillance process, handling escalated cases, and ensuring compliance with regulatory...

  • Compliance Manager

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China ICBC Asset Management (Global) Full time

    Job SummaryWe are seeking a highly skilled Compliance Manager to join our team at ICBC Asset Management (Global). The successful candidate will be responsible for developing and executing a risk-based annual compliance review plan, compliance review program, and internal audit plan for the company.Key ResponsibilitiesCompliance Review and Internal...

  • Compliance Manager

    5 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China HKMC Annuity Limited Full time

    Job SummaryWe are seeking a highly skilled Compliance Manager to join our team at HKMC Annuity Limited. The successful candidate will be responsible for providing compliance review and advisory, developing and updating compliance policies and guidelines, and promoting compliance awareness and culture within the company.Key ResponsibilitiesProvide compliance...

  • Compliance Manager

    1 week ago

    Hong Kong, Central and Western District, Hong Kong SAR China Prudential plc Full time

    Job Title: Senior Manager, ComplianceAt Prudential plc, we are committed to being partners for every life and protectors for every future. Our purpose drives everything we do, creating a culture of diversity and inclusion for our people, customers, and partners. We provide a platform for our employees to excel and make a meaningful impact on the business,...

  • Compliance Manager

    1 week ago

    Hong Kong, Central and Western District, Hong Kong SAR China Sun Life Full time

    Job DescriptionAs a key member of the Enterprise Asset Management Compliance team, you will play a critical role in ensuring the firm's compliance with regulatory requirements and in-house policy guidelines. Your primary responsibility will be to perform compliance testing, monitoring, and surveillance to demonstrate and attest compliance with applicable...

  • Compliance Manager

    5 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Infini Capital Management Limited Full time

    Job Title: Compliance ManagerAt Infini Capital Management Limited, we are seeking a highly skilled Compliance Manager to join our team. The successful candidate will be responsible for ensuring that our company's activities are in compliance with all relevant regulations and laws.Key Responsibilities:Develop and implement compliance policies and procedures...

  • Compliance Manager

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Prudential plc Full time

    Job Title: Senior Manager, CompliancePrudential plc is committed to being a partner for every life and protector for every future. Our purpose drives everything we do, creating a culture of diversity and inclusion for our people, customers, and partners. We provide a platform for our employees to excel and make a meaningful impact on the business, supporting...

  • Compliance Manager

    2 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China Larson Maddox Full time

    Job Title: Compliance ManagerLarson Maddox is seeking an experienced AML & Compliance Manager to join our dynamic team in Hong Kong. The ideal candidate will have a strong background in compliance and anti-money laundering within the banking sector and a proven track record of effectively managing compliance programs.Key Responsibilities:Develop, implement,...

  • Compliance Manager

    2 days ago

    Hong Kong, Central and Western District, Hong Kong SAR China HKMC Annuity Limited Full time

    Job Title: Compliance ManagerHKMC Annuity Limited is seeking a highly skilled Compliance Manager to join our team. As a key member of our compliance function, you will play a critical role in ensuring that our business operations are in line with regulatory requirements.Key Responsibilities:Develop and implement compliance policies and procedures to ensure...

  • Compliance Manager

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China ZA Bank Full time

    Job Title: Senior Manager/Manager, Central ComplianceZA Bank is seeking a highly skilled and experienced Senior Manager/Manager, Central Compliance to join our team. As a key member of our compliance function, you will play a critical role in ensuring the bank's compliance with regulatory requirements and internal policies.Key Responsibilities:Collaborate...

  • Compliance Manager

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Pacific Focus Full time

    {"title": "Compliance and Risk Management Expert", "content": "Job SummaryPacific Focus is seeking a highly experienced Compliance and Risk Management Expert to join our team. As a key member of our organization, you will be responsible for developing and implementing effective compliance frameworks, policies, and controls to ensure adherence to all...

  • Compliance Manager

    3 weeks ago

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

    Compliance ManagerHang Seng Bank is committed to excellence in service. Our people are our most valuable asset, and we seek to attract high-calibre talent by offering a dynamic working environment, good career development opportunities, and competitive compensation packages.About the RoleWe are currently seeking a high-calibre professional to join our...

  • Compliance Manager

    1 week ago

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

    Compliance ManagerHang Seng Bank is committed to excellence in service. Our people are our most valuable asset, and we strive to enhance our performance for customers by providing best-in-class products and services. We seek to attract high-calibre talent by offering a dynamic working environment, good career development opportunities, and competitive...

  • Compliance Manager

    1 month ago

    Hong Kong, Central and Western District, Hong Kong SAR China The Cigna Group Full time

    Job Summary:The Compliance Manager will be responsible for ensuring that all business operations within The Cigna Group are in compliance with relevant laws and regulations. This includes developing and implementing compliance policies and procedures, conducting risk assessments, and providing training to staff on compliance matters.Key...

  • Compliance Manager

    3 weeks ago

    Hong Kong, Central and Western District, Hong Kong SAR China Hang Seng Bank Limited Full time

    Job Title: Compliance ManagerHang Seng Bank Limited is seeking a high-calibre professional to join our department as Compliance Manager.Key Responsibilities:Foster a positive culture of compliance by working proactively with the business line, global function, Operations, Business Risk and Control Management and other compliance professionals to ensure that...