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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