Compliance Officer
Hong Kong

Role Summary

This is a key second line of defence role within the Compliance function in Asia, based in the Hong Kong office. The role is to ensure that activities of Sanne entities that are licenced and incorporated in the Asia Region are undertaken in accordance with the regulatory and statutory requirements and in accordance with Group policy.

The role provides support to the APAC Country Lead Compliance Officer ( CLCO ) to establish and develop the Compliance framework in Asia, including the drafting of compliance procedures, monitoring and testing of the business, compliance reporting internally as well as promoting compliance awareness across the business in line with SANNE global standards and principles.

Key responsibilities

  • Assist the CLCO with the implementation and enforcement of the Global Compliance Strategy in Asia;
  • To ensure that the Hong Kong Office is fully compliant with relevant laws and regulations;
  • Providing support and guidance to the senior management in Asia to ensure that regulatory risk, including Money Laundering and Terrorist Financing is appropriately and adequately managed;
  • Perform horizon scanning and analyse proposed legislative and regulatory developments to monitor impact and conformance with the applicable laws and regulations;
  • Assist in developing and reviewing the Compliance systems and controls to ensure they remain up-to-date and meet current statutory and regulatory requirements, which includes monitoring effectiveness and enhancing the controls and procedures where necessary;
  • Implementing and / or following up recommendations made by internal or external audits and the regulators, regarding compliance risks;
  • Support the CLCO in the implementation, periodic review and update of Regional Compliance Manuals for the SANNE entities in Asia to include any updates in group policy and local regulation;
  • Support the CLCO by overseeing adequate arrangements in Asia for Compliance awareness and training in line with current legal and regulatory requirements;
  • Act as Deputy MLRO (in the absence of the MLRO)
  • Support the CLCO in Regional Board and Group Reporting;
  • Perform sampling and monitoring in line with the compliance monitoring plans for the licenced entities of Sanne Asia Region Companies and for Cayman unregulated funds where SANNE are appointed as
  • AMLCO.

    Skills / experience required

  • Industry recognised Compliance, Governance or Risk qualification;
  • Sound understanding of multijurisdictional financial services regulation and AML guidelines;
  • Knowledge and experience in alternative asset and corporate administration services;
  • Understanding of global corporate structures;
  • Reliable, adaptable, motivated and driven with an ability to work under pressure to meet tight deadlines;
  • Ability to communicate, engage and build relationships across the organisation and externally;
  • Organised and self-disciplined;
  • Ability to work independently as well as in a team.
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