The job holder is expected to work closely with the key stakeholders in different business units. The role will drive the identification, assessment and analysis of regulatory requirements that will impact on risk management and control perspective. It is expected that this role will also help to work on some projects for the implementation of the regulator requirements.

Responsibilities:

• Provide compliance review and recommendation to business units via different compliance programs, especially around the SFC type 1 and 4 regulated activities
• Assist in the development and implementation of compliance control
• Ensure the change of laws or regulations are tracked and relevant policies and procedures are properly and timely implemented to the affected business units and Anti-money Laundering related matters.
• Conduct Compliance training and communication programs as a continuous effort of building and strengthening compliance awareness of all staff.
• Maintain and update compliance risk management programs, including identifying significant compliance risks, evaluating the management of those risks and developing action plans to enhance controls where appropriate Follow up with/monitor the business units to ensure appropriate actions are taken, including customer complaint oversight.
• Prepare regular metrics and management reports to facilitate on-going control monitoring by management and functional leaders.
• Support Senior management, Ethics & Compliance in implementing ad hoc projects initiated by management.
• Handle company’s and representatives’ licensing matters to ensure proper licensing with local regulators, survey and other ad hoc reports as requested by IA, CPT monitoring.

Requirements:

• University degree and have at least 3- 5 years relevant working experience in compliance, audit or risk management in financial institution and/or life insurance operations 
• Professionally qualified as an accountant / auditor is preferable.
• Experience in dealing with regulators such as IA, MPFA, HKFI  and SFC.
• Confident to communicate effectively with business units.
• Familiar with guidelines, codes and requirements issued by IA, MPFA, HKFI and SFC, Anti-money Laundering Ordinance, Personal Data (Privacy) Ordinance and Insurance Ordinance.
• Analytical skills and problem solving ability.
• Mature, independent, well organized and customer focused.
• Good communications, presentation and report-writing skills in both English and Chinese.

• 5-day work
• Attractive monthly basic salary and annual performance bonus
• Comprehensive fringe benefits including but not limited to:
  • 16 working days annual leave up to 24 days depending on years of services
  • Family Care Leave, Maternity and Paternity Leave, Birthday leave, etc.
  • Free Life and Health Insurance including both In and Out-patient benefits
  • Pension Benefits on top of MPF mandatory contribution
  • Adequate training and good allowances

"GUM’’ – A modern, young, and energetic brokerage and consulting firm since 1980. 

We embrace a flexible work environment with a dynamic and open organizational culture, and support our GUMbees in their career development. We are looking for motivated and resilient people to join us. "GUM’’ can provide you with exceptional earning capacity and full support to help you achieve excellence and reach your potential. We are growing fast and going beyond tradition to make the retirement plan different for employees!