Director, Compliance, Asia Investment Management

Sun Life Financial

  • Taikoo Shing, Hong Kong
  • Permanent
  • Full-time
  • 19 days ago
You are as unique as your background, experience and point of view. Here, you’ll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll have new and exciting opportunities to make life brighter for our Clients - who are at the heart of everything we do. Discover how you can make a difference in the lives of individuals, families and communities around the world.Job Description:Job Responsibilities
  • 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
Job Requirements
  • 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
Job Category: CompliancePosting End Date: 02/05/2024

Sun Life Financial