Compliance Officer

2 weeks ago

Hong Kong, Central and Western District, Hong Kong SAR China Allspring Global Investments Full time
About the Role

We are seeking a highly skilled Compliance Officer to join our team in Hong Kong and Singapore. As a key member of our Compliance team, you will play a critical role in ensuring that our business operations align with applicable laws, regulatory rules, and regulations.

Key Responsibilities
  • Support the development and implementation of our Compliance Programs in Hong Kong and Singapore, ensuring that our business operations are in compliance with relevant laws and regulations.
  • Prepare and coordinate regular reporting submissions, filings, and ad hoc surveys/questionnaires with regulators in Hong Kong and Singapore.
  • Perform the role of Compliance Officer for our Hong Kong and Singapore legal entities, supporting the Head of APAC Legal & Compliance with his obligations and deliverables.
  • Advise colleagues on compliance matters relevant to our business conducted in Hong Kong and Singapore, including marketing requirements, financial crimes checks and procedures, client suitability assessments and onboarding, and ongoing client administration and reporting.
  • Proactively keep Compliance colleagues and business stakeholders informed of regulatory changes impacting our business in APAC.
  • Oversee the maintenance of compliance policies and procedures to reflect Singapore and Hong Kong requirements, while maintaining close alignment and consistency with our global policies and procedures.
Requirements
  • Minimum 5 years of experience in compliance or related disciplines in asset management, including compliance programs, financial crimes, ethics, compliance monitoring, exam management.
  • Prior experience with preparing regulatory reporting and submissions via MASNET (Singapore) and WINGS (Hong Kong).
  • Prior experience with developing policy and procedures associated with MAS and/or SFC rules, regulations, and compliance-related requirements.
  • Good experience of building and maintaining effective working relationships with other Allspring functional colleagues covering Singapore/Hong Kong/APAC, including Legal, Internal Audit, Finance, IT, and Risk.
  • Demonstrable understanding of regional compliance regulations in Hong Kong and/or Singapore, and preferably both.
Preferred Qualifications
  • Experience with key regulatory filing documentation and the process of coordinating input to, organizing internal approvals of, and submitting these.
  • Excellent technical, analytical, and communication skills, with the ability to effectively interact with individual contributors and senior management.
  • Dedicated, enthusiastic, driven, and performance-oriented, with a strong work ethic and results orientation.
  • Experience of liaising and managing dialogue with regulators.
  • Ability to effectively and constructively manage change in an organization.
About Allspring Global Investments

Allspring Global Investments is a leading independent asset management firm that offers a broad range of investment products and solutions designed to help meet clients' goals. Our vision is to inspire a new era of investing that pursues both financial returns and positive outcomes.

We strive to build portfolios aimed at generating successful outcomes for our clients through the independence of thought that powers our investment strategies and by bringing a renewed approach to look around the corner to unlock what's possible.

We are committed to thoughtful investing, purposeful planning, and the desire to deliver outcomes that expand above and beyond financial gains.

For more information, please visit our website.

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