Vice President - Compliance (Legal / Compliance, Managerial)
BCT Group
Hong Kong, HK
5天前

Legal & Compliance Key Responsibilities

  • Assists the General Counsel & Head of Compliance to manage and supervise the compliance officer / assistant of the Legal & Compliance Department ( LCD ).
  • Provide regulatory / compliance advice to other departments on matters regulated by the MPFA, the SFC and / or the IA.
  • Assume a leading role in the development as well as the on-going review and supervision of procedures and controls adopted for the purposes of, among others, pension services, fund services and financial planning services.
  • Prepare the submission and maintenance of statutory records, reports and returns for legal and statutory compliance purposes and / or the supervision of the same.
  • Handle, manage and investigate into regulatory breaches.
  • Review and vet marketing materials as well as constitutional documents for regulatory purposes.
  • Supervise the filing and maintenance of documents and records (including contracts, deeds and legal and statutory compliance records of service providers delegated by the trustee company).
  • Liaise with regulators and other departments on matters relating to legal and compliance.
  • Provide compliance training.
  • Take up tasks and projects as assigned by Department Head from time to time.
  • Requirements

  • Degree holder or above
  • ACCA / legal qualification is preferable
  • Minimum 7 years’ relevant compliance or audit experience in MPF, pension, fund services, investment management business and / or, preferably, life / general insurance products
  • Mature, detail oriented with excellent organizational skill
  • Good interpersonal skills
  • Good working knowledge in the respective regulatory regimes of the MPFA and the SFC (and preferably the IA as well)
  • Knowledge and experience in different types of investment products (including pension funds, retail funds and, preferably, insurance products)
  • High Proficiency in PC operations
  • Able to undertake work independently and to deal with the regulators
  • Well versed in English and Chinese
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