Senior Compliance Generalist, 6 Month Contract

3 days left

Recruiter
Morgan McKinley Hong Kong
Location
Hong Kong
Salary
AUD0.00 per annum
Posted
18 Aug 2017
Closes
25 Aug 2017
Sector
Legal
Contract Type
Contract
Hours
Full-time

My clients are currently hiring experienced Compliance Generalists to support their funds business.

Responsibilities

  • Obtain required licenses for relevant individuals and corporate entities and ensure all licensed individuals meet their CPT / CPD requirements
  • Responsible for handling all licensing related matters; license application/ withdrawal, annual returns, notification and CPT
  • Maintain effective compliance risk assessment framework and perform compliance testing
  • Liaise with regulators and draft responses to regulatory enquiries
  • Complete (or coordinate the completion of) regulatory filings
  • Conduct compliance monitoring to ensure compliance with Fidelity internal policies and regulations, and formulate appropriate action plans to address anomalies and strengthen compliance controls
  • Identify current regulatory gaps/ compliance weaknesses and propose rectification measures
  • Develop account opening and anti-money laundering policies (in conjunction with the AML Officer) and privacy policies (in conjunction with the Privacy Officer)

Requirements:

  • Over 5+ years of experience in regulatory compliance managers/compliance advisory/Licensing
  • Have an in depth understanding of the Hong Kong SFC and MPFA
  • Have experience in product due diligence work and review of marketing materials
  • Have excellent communication skills in both English and Chinese with experience interacting with senior level stakeholders who manage teams of sales, marketing, product development etc