Compliance Director, Asia Investment Management

3 weeks ago

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

Job Summary:

We are seeking a seasoned Compliance professional to join our team as Director, Compliance, Asia Investment Management. The successful candidate will be responsible for establishing and maintaining a fit-for-purpose asset management Regulatory Compliance Management (RCM) program within Asia Investment Management.

Key Responsibilities:

  • Establish a Regulatory Compliance Management (RCM) program within Asia Investment Management.
  • Support the Regulatory Compliance strategy by identifying, informing and advising Senior Management of any developing issues and trends that may impact or be relevant to the Group's management as appropriate of Regulatory Compliance risk.
  • Develop regulatory change program; drive co-ordination and execution of the various Regulatory Compliance change work streams and embed Operating Model changes while ensuring alignment with Global Standards.
  • Establish standards and implement procedures to ensure that the Investment Advisor compliance program is effective and efficient in identifying, preventing, detecting, and correcting non-compliance with applicable laws and regulations.
  • Design and implement compliance reporting for executive management, Enterprise Compliance and regulator(s), as needed.
  • Manage and communicate compliance issues and trends, compliance reports to executive management and regulator(s).
  • Manage and coordinate efforts related to regulatory reviews, exams, inquires, and audits.
  • Identify areas of potential compliance risk and vulnerability; manage and drive effective resolution, reporting updates to management.
  • Act as technical advisor and support business initiatives from a compliance perspective.
  • Manage and support investment advisor compliance process operations.

Requirements:

  • Degree in Business, Finance, Economics, or related field.
  • CFA (or similar) designation, ACAMS, Industry Exams & Courses (e.g. FINRA, CSI) are a plus.
  • 8+ years relevant experience in asset management compliance.
  • Understanding of the SFO (Securities and Future Ordinance) and other relevant Codes of Conduct and regulations of Type 1, 4, 9.
  • Seasoned Compliance professional within asset management industry.
  • Experience working with, reporting to and communicating with regulators as well as ability to review and interpret regulatory requirements.
  • Expertise in RCM compliance programs and systems.
  • Effectively identify, communicate and escalate compliance matters to senior leaders in both Line 1 and Line 2 and be proactive in developing solutions.
  • Dynamic and fast-paced problem-solving skills, that leverage all available knowledge required for real-time solutions to business problems that carry actionable regulatory risk.
  • Ability to navigate in a complex and matrix organization.
  • Excellent verbal and written communication skills, with strong presentation skills.
  • Ability to work effectively with persons at all levels of the organization, including senior executives.
  • Use diplomacy and tact to navigate throughout a complex, international organization across Sun Life enterprise, Asia, SLF Business Groups and Local investment teams.

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