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?
- 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