Compliance Manager, Architas
AXA
HONG KONG
1天前

Objective

Principal objective isto perform compliance monitoring over Architas business activities to ensureArchitas’ compliance with applicable regulatory requirements and expectations,by overseeing company policies & practices, and providing guidance to Investment,Distribution, Proposition, Marketing, Operations, Legal, Finance, HR and Riskto address regulatory issues and effective management.

The role is also availablefor those looking for flexible and / or part-time work.

Key responsibilities

Reporting to the Headof Legal & Compliance Asia; support management of Architas’ relationshipwith financial regulators (the SFC and the relevant regulators in otherjurisdictions, where applicable) and government authorities, and play anadvisory role to colleagues on regulatory requirements.

Support governancearrangements, conduct monitoring & proactively mitigate any regulatory andreputational risks for the business.

Key responsibilities include :

  • monitoring licensing matters (license applications of new joiners and post-licensing reporting) and manage notifications, reports and communications with the SFC, with oversight of Head of Legal & Compliance & CEO.
  • review & sign off marketing materials.
  • monitoring new client onboarding process and review AML / KYC checks and financial sanctions screening; and perform monitoring on financial crime related issues
  • Provide advice in relation to regulatory investment restrictions, work with Risk team to monitor investment compliance.
  • Develop and implement annual compliance monitoring plan, including compliance monitoring on cross-border activities; review and update compliance policies annually;
  • provide compliance training to new joiners and to all staff annually.

  • Review and analyse the impact of any new regulations and develop policies and procedures; and advise business units on the implication of new regulations and track the business units’ implementation of processes to meet the regulations.
  • provide input on new products & services from regulatory perspective.
  • Support ad-hoc projects, including regional initiatives.
  • Qualifications

  • At least 5-8 years’ work experience with asset managers in the areas of Compliance, Operational Risk or Audit, or with the regulators, or compliance consulting firms
  • Strong knowledge of the SFC regulations including but not limited to SFC Code of Conduct on licensed persons, Fund Manager Code of Conduct and Code on Unit Trusts and Mutual Funds
  • Good experience in handling matters related to SFC authorised funds
  • Experience in handling matters ranging from distribution / marketing compliance, AML / KYC, regulatory advisory and investment compliance
  • Chinese language ability is essential (capable of reading traditional Chinese)
  • About AXAWould you like to wake up every day driven and inspired by our noble mission and to work together as one global team to empower people to live a better life?

    Here at AXA we strive to lead the transformation of our industry. We are looking for talented individuals who come from varied backgrounds, think differently and want to be part of this exciting transformation by challenging the status quo so we can push AXA - a leading global brand and one of the most innovative companies in our industry - onto even greater things.

    In a fast-evolving world and with a presence in 64 countries, our 166,000 employees and exclusive distributors anticipate change to offer services and solutions tailored to the current and future needs of our 103 million customers.

    AXA in Asia is a market leading insurance player offering a differentiated composite proposition in Life and General Insurance with operational presence in Japan, Hong Kong, Singapore, Indonesia, China, India, Malaysia, the Philippines, and Thailand.

    The Asian businesses are part of the AXA Group, headquartered in Paris and a worldwide leader in insurance and asset management with a presence in 64 countries.

    AXA in Asia is committed to creating a sustainable, long-term business for our employees, customers and shareholders. AXA is an equal opportunity employer.

    We are committed to promote Diversity and Inclusion (D&I) by creating a work environment where all employees are treated with dignity, respect, and where individual differences are valued.

    We welcome and treasure diverse profiles to join our big family, and to build an inclusive culture together which allows everyone to maximize their personal potential.

    What We OfferWe’ll give you :

  • A competitive salary and benefits package
  • Medical cover and dental plan
  • Attractive pension plan
  • Rental reimbursement scheme
  • Extensive learning and development opportunities
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