Director, Compliance, Asia Investment Management
Sun Life Financial
- Taikoo Shing, Hong Kong
- Permanent
- Full-time
- Establish standards and implement procedures to ensure that the Investment Advisor compliance program is effective and efficient in identifying, preventing, detecting, and correcting non-compliance with applicable laws and regulations.
- Support and coordinate efforts related to regulatory reviews, exams, inquires, and audits.
- Manage efforts related to regulatory filings.
- Work with various teams and cross departments (including Distribution & Business Development, Client Relationships, Marketing, Finance, Operations, IT, and Legal) to lead investment management activities from a compliance perspective.
- Understanding of regulatory and self-regulatory agencies (e.g. SFC) and applicable laws and regulations. Knowledge and experience with industry best practices in compliance management.
- Communicate compliance issues and trends, prepare compliance reports to management and regulator.
- Identify areas of potential compliance risk and vulnerability; manage and drive effective resolution, reporting updates to management.
- Act as technical advisor and support business initiatives from a compliance perspective.
- Manage and support investment advisor compliance process operations
- Degree in Business, Finance, Accounting or related discipline(s)
- 10+ years relevant experience in asset management compliance
- Well-versed with the SFO (Securities and Future Ordinance) and other relevant Codes of Conduct and regulations of Type 1, 4, 9
- Ability to navigate in a complex, matrix organization
- Excellent interpersonal, communication, change management, and influencing skills, and a team player mindset
- Demonstrate ability to make recommendations to management and influence business decisions based on thorough analysis
- Ability to translate strategic direction from leader into tactical plans; implements tactical plans; provides input to strategic plans; and champions the development of departmental goals and objectives
- Experience in the financial services industry with an understanding of operational management practices and objectives including accountabilities, approaches to problem solving, industry trends and best practice