SVP Compliance | Scrabble & Jigsaw

Posted on February 9, 2023

Job Description

<ul> <li style="margin-bottom:11px">This role is a key compliance risk management role that has a broad remit and responsibilities for leading implementation and management of all aspects of compliance, including impact analysis of regulatory changes and driving coordination and execution of the various compliance work streams for AMIN, while ensuring alignment with HSBC framework.</li> <li style="margin-bottom:11px">The role requires strong partnership with the entity’s business team, interfaces with both risk and general Compliance and has responsibility for driving the implementation of policies relevant to asset management. The role will monitor and track the progress of various work streams and initiatives underway which fall under the umbrella of compliance, provide policy/regulatory advices to address the risks associated AMIN business.</li> <li style="margin-bottom:11px">The role will also need to stay at the forefront of the local regulatory changes to ensure proactive communication with business and develop appropriate policy and framework to manage the changes in the entity.</li> <li style="margin-bottom:11px">Identification of compliance risks and potential impacts on the business and provide guidance to business on compliance advisory requirements;</li> <li style="margin-bottom:11px">Establishing and implementing Group standards and policies to ensure business’s exposure to current risks and emerging risk is managed appropriately.</li> <li style="margin-bottom:11px">Conducting periodic compliance reviews of key functions and 3rd party service providers;</li> <li style="margin-bottom:11px">Monitoring of regulatory compliance areas pertaining to market abuse controls, investment restrictions, marketing material reviews, including website content & investor communication;</li> <li style="margin-bottom:11px">Timely and efficient submission of various compliance reporting to the Group and regulatory submissions. This also includes providing timely and relevant risk information to senior management and governance forums;</li> <li style="margin-bottom:11px">Liaison with relevant stakeholders, including Regulators and industry bodies, on all compliance related matters;</li> <li style="margin-bottom:11px">Assisting LCO in discharging his/her regulatory obligations by identifying and containing compliance risks by monitoring, escalation, reporting, certification, etc and fostering a compliance culture within the entity.</li> </ul>