Vice President - Compliance (Legal / Compliance, Managerial)
Hong Kong, HK
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.
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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