Deputy Manager to Senior Manager, Product Compliance, CUD

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