Job Responsibilities
Provide compliance advice to ensure compliance with relevant regulatory requirements
Review procedures and manuals to ensure changes of controls of internal policies and regulations are documented and effectively implemented
Develop and update compliance policies and and procedures based on updated regulatory requirements and new business
Perform compliance review and checking, oversight on operation of custody, trustee or fund administrator and delegated service generally, including performing regular review/control testing in relation to the custody/trustee/fund administration business in accordance with internal policies and applicable regulations
Perform risk and compliance related tasks required by group policies, such as KRI and KRA reviews and regular reporting, etc.
Identify breaches, risks and other matters and provide advice to internal parties and/or clients on matters in fiduciary aspects for rectification/escalate report in timely manner
Act as consulting point to provide advise to the members of custody service department in relation to risk and compliance matters
Other tasks as assigned by the management from time to time
Job Requirements
Degree holder in Law/Business/Economics
At least 5 years of custody and trustee business compliance related experience covered compliance monitoring on Custodian operation and SFC unit trust business
Good knowledge of regulations, rules and statutory requirements of SFC regulated activities
Good knowledge of custody products, public/private collective investment schemes, HongKong-Mainland interconnection products
Good understanding of Fund/Investment Strategies and related rules of risk
Proficient in both spoken and written English and Chinese