Overview

This person will support the Compliance practice in Hong Kong for all entities and the RBC Investor Services Bank S.A., Hong Kong Branch under the Investor and Treasury Services (I&TS) platform and the coordination and execution of the Compliance program activity in the Hong Kong office.

What will you need to do?

  • Keep track of all requests from the local regulators and ensure the requests are submitted according to the relevant deadlines set by the regulator.
  • Monitor any updates to the relevant regulatory changes to ensure all relevant regulations and laws relevant to the conduct of business have been identified and communicated to the relevant management.
  • Maintain breach register and privacy incident log.
  • Maintain and update the Regulatory Compliance Management (“RCM”) Tool and ensure updates to the RCM tool is captured in the Compliance Monitoring Program (“CMP”).
  • Operate the agreed CMP, undertake compliance review, support the preparation of Compliance Engagement Letter and Control Testing Report.
  • Support management and line staff with problem solving and decision making in respect to regulatory issues.
  • Prepare Compliance related reports or statistics for monitoring
  • Participate in projects or research assignments as requested
  • Support the review and update of the local compliance related policies and procedures
  • Support the preparation of compliance training materials in relation to regulatory updates
  • Maintain, organise and keep track of all regulatory correspondences and breach related incidents

What you need to succeed?

Must have:

  • At least 7 years of relevant working experience
  • Experience in compliance function/ a regulator
  • Knowledge in corporate trust operations, pension schemes, unit trusts, partnerships and mutual funds
  • Strong sense of responsibility, a well-organized and reliable person with good team spirit

Nice to have:

  • Good interpersonal skills and networking abilities with key business stakeholders
  • Independent, confident, self-motivated, pro-active and mature
  • Willing to take on new challenges and work under pressure
  • Strong multi-tasking skills
  • Proven analytical and written skills

To apply for this job please visit jobs.rbc.com.


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