Compliance, Associate Director
Fidelity International
Hong Kong
3天前

About the opportunity

Department Description

Fidelity International holds the integrity of its business dealings as one of the core values of the organisation and therefore the role that the compliance function fulfils is critical.

The Department works in partnership with the business to ensure that all the appropriate regulatory controls are efficient and effective.

The Department also works with local regulators and government bodies in influencing and shaping future requirements to protect investors.

Purpose of your role

To provide proactive and timely compliance support, advice and training on compliance matters in Hong Kong.

Key Responsibilities

To develop our partnership with the Business and provide value-added services

  • Strategic thinking with the ability to lead regulatory changes, initiatives and manage internal stakeholders
  • Partner with, and offer value-added compliance advice to the business including, but not limited to, Retail, Pension, Distribution, Wholesale, Institutional business, as well as to functional support areas on regulatory and compliance issues, and with the ability to lead compliance projects with minimal supervision
  • Independently oversee, approve and monitor fund marketing materials, retail fund distribution, online fund distribution platform and privacy related matters
  • To educate, influence and lead on key regulatory risks and control issues

  • Proactively identify, resolve and communicate compliance issues and trends.
  • Identify current regulatory gaps / compliance weaknesses and propose rectification measures
  • Perform impact assessment and implementation of regulatory developments
  • Establish, review and implement effective regulatory compliance programs
  • Conduct training on compliance related matters to reinforce compliance principles
  • To enhance the oversight / assurance framework to ensure compliance controls are appropriately applied

  • Develop and implement compliance procedures to ensure operational effectiveness and to produce reports for management information
  • Conduct compliance monitoring to ensure compliance with Fidelity internal policies and regulations, and formulate appropriate action plans to address anomalies and strengthen compliance controls
  • Investigate investor complaints (in conjunction with the Complaints Officer) to ensure closure of issues
  • To work closely with regulators and other third parties in ensuring the integrity of the Company

  • Liaise with regulators and draft responses to regulatory enquiries
  • Ensure (complete or coordinate) the completion of regulatory filings
  • Independently respond to routine and ad-hoc compliance requests from internal and external sources
  • Liaise with trustee or external and internal auditors as necessary
  • Experience and Qualifications Required

  • Graduate plus CFA, CPA or LL.B designation, with solid 8 to 10 years’ relevant Asset Management working experience in compliance or in regulatory function
  • In depth understanding of Hong Kong SFC and MPFA and the investment funds industry and securities markets
  • Experienced in handling and direct dealing with regulators including the SFC and MPFA
  • Excellent command of English and Chinese; proficiency in Mandarin would be an advantage
  • Strong analytical skills, problem-solving ability and attention to detail
  • Ability to work autonomously and coordinate on day to day matters
  • Investigative and questioning nature
  • Ability to lead projects alone with minimal supervision
  • People management skills - influencing and leadership skills
  • Team player who is sensitive to the needs of the functional business units
  • Excellent inter-personal skills with various levels of management
  • Commitment and desire to make things happen
  • Ability to work in a fast-paced environment
  • Good PC skills (including Microsoft Word and Excel)
  • About you

    About Fidelity International

    Fidelity International offers investment solutions and services and retirement expertise to more than 2.56 million customers globally.

    As a privately-held, purpose-driven company with a 50-year heritage, we think generationally and invest for the long term.

    Operating in more than 25 locations and with $783.6 billion in total assets, our clients range from central banks, sovereign wealth funds, large corporates, financial institutions, insurers and wealth managers, to private individuals.

    Our Workplace & Personal Financial Health business provides individuals, advisers and employers with access to world-class investment choices, third-party solutions, administration services and pension guidance.

    Together with our Investment Solutions & Services business, we invest $567 billion on behalf of our clients. By combining our asset management expertise with our solutions for workplace and personal investing, we work together to build better financial futures.

    Our clients come from all walks of life and so do we. We are proud of our inclusive culture and encourage applications from the widest mix of talent, whatever your age, gender, ethnicity, sexual orientation, gender identity, social background and more.

    We are a disability-friendly company and would welcome a conversation with you if you feel you might benefit from any reasonable adjustments to perform to the best of your ability during the recruitment process and beyond.

    We are committed to being a truly flexible employer, encouraging and trusting our people to perform their role in the way that works best for them, our business, our colleagues and our clients.

    We offer the maximum possible flexibility over where and when you work for all, considering your role and any local regulations.

    We call this new approach "dynamic working".

    Find out more about what we do, our history, our new approach of "dynamic working" and how you could be a part of our future at https : / / careers.

    fidelityinternational.com / about-us

    Applying to this Job Role : Please note you are only required to upload your CV / Resume to the application screen.

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