(FSG) Manager

Principle accountabilities:

• Develop and execute compliance monitoring review program.
• Work with relevant stakeholders to ensure that remediation plans are implemented to address weaknesses identified
• Deliver advisory services and guidance to business units and management on controls and compliance issues.
• Develop and implement an effective compliance framework and ongoing compliance monitoring programs.
• Coordinate and liaise with regulatory authorities for regulatory enquiries, reporting, inspection and investigation
• Draft internal policies, procedures and guidelines to ensure business is in compliance with the relevant regulatory requirements.
• Identify any potential compliance risks and develop precautionary measures by developing and maintaining an effective internal compliance alert system. Assist in handling compliance projects or other ad hoc duties as assigned.
• Ensure that monitoring and advisory activities in the company are effectively managed and kept within the Company’s appetite for Regulatory Risk
• Review and update Compliance Policies
• Identify regulations, directives, rules and guidelines relevant to the Company.
• Map relevant regulations, directives, rules and guidelines to business functional areas.
• Conduct workshops to effect mapping of business processes and controls to relevant regulations, directives, rules and guidelines.
• Review validity of business processes and controls to relevant regulations, directives, rules and guidelines.
• Assist business to implement valid business processes and controls to comply with relevant regulations, directives, rules and guidelines.
• Develop compliance self-assessment checklist for business functional areas.
• Prepare compliance reports and related papers for Audit and Risk Committee meetings
• Advise Financial Services clients such as Banks, capital markets services and Financial Advisors License Holders on regulatory and compliance support matters.

This will include:

• Reviewing and formulating recommendations for processes and controls to better comply with regulatory requirements and the regulator’s expectation.
• Developing and maintaining an appropriate compliance monitoring programme.
• Performing compliance monitoring on a regular basis.
• Advising clients on the impact of key regulatory developments and changes
• Conduct regulatory and compliance training to Financial Services clients and internally.
• Provide support on financial services engagements on regulatory and compliance matters.

Technical knowledge, professional qualifications and experience:

• Professional qualifications / degree in Accountancy, Finance or Business Law
• with at least 6-8 years’ experience in financial services industry with 5 years in compliance relevant working experience.
• Good Knowledge of international operations and compliance standard of brokerage business.
• Independent, self-motivated and able to meet tight deadlines.
• Professional presentation and report writing skill
• Professional compliance qualification
• CMFAS Module 5, 9, 9A and HI
• Experience in developing compliance self-assessment checklist
• Ability to track and follow-up on status of reports to relevant Committees
• Good negotiation and inter-personal skills
• Strong client relationship and interpersonal skills.
• Excellent command of English and good report writing skills.

For further information, and to apply, please visit our website via the “Apply” button below.