Key Responsibilities

• Administer and maintain our Hong Kong regulated entity’s compliance program; ensuring management and employees are in compliance with the applicable Securities and Futures Commission’s rules and regulations and that company policies and procedures are being followed.
• Advise senior leadership regarding risk management and regulatory changes. Manage relationships with external advisors on compliance and reporting issues.
• Conduct compliance training for employees as part of overall effort to foster a firm-wide culture of compliance.
• Provide guidance and answers to questions pertaining to compliance and/or regulatory matters.
• Coordinate with the business teams in determining impact of compliance regulation on current processes and internal systems.
• Prepare materials for quarterly and annual reports to regulators and the regulated entity’s Board of Directors.
• Maintain and update the compliance calendar of all regulatory filings and reporting.
• Assist in preparing responses to regulatory filings and regulatory examinations.
• Assist the CCO – Asia Pacific/Europe on projects as assigned 

Requirements

• A bachelor’s degree is required. A degree in finance, accounting, or economics and an advanced degree is preferred.
• Excellent written and verbal skills are needed in both Chinese and English
• At least five years of compliance experience with an entity regulated by the Securities and Futures Commission of Hong Kong.
• Strong knowledge of the Securities and Futures Commission rules and regulations applicable to Type 4 and Type 9 regulated activities.
• Knowledge of the regulatory regime throughout Southeast Asia, including Singapore and China, is preferred.
• Strong interpersonal relations, with the ability to effectively influence and collaborate with diverse teams.
• High degree of professionalism and integrity with demonstrated ability to handle confidential issues in a professional manner.
• Experience drafting policies, procedures, and internal communications.
• Experience providing effective compliance training and to develop developing training materials within prescribed frameworks.
• Experience performing compliance reviews, developing findings and recommendations, and independently manage compliance-related projects.
• Strong organizational and time management skills with the flexibility and willingness to respond to changing priorities.
• High level of attention to detail and problem solving skills.

Morningstar is an equal opportunity employer.