Jun 08, 2018

Project Manager - Compliance (Contract - 6 months)

  • Financial Services
  • Hong Kong
Contractor Compliance Business Development Consultant Corporate Compliance Finance

Job Description

PURPOSE

This role will be responsible for the coordination of updating of the Regulatory Compliance Management (‘RCM’) tool for HK across the three segments (Capital Markets, Wealth Management, Investor Treasury Services) and their lines of business in region. This encompasses the coordination of the project management activities associated with the ongoing RCM project and ensuring the RCM tool is updated with current, accurate and consistent data.

 

PRIMARY RESPONSIBILITIES

• To provide project management expertise to manage the ongoing coordination and implementation of the global RCM project.

• To ensure the RCM remains current, accurate and consistent with approaches taken in other jurisdictions.

• To be responsible for working with First and Second Lines of Defence to identify the key risks, controls and monitoring to be undertaken, to address the risks presented by the requirements the different business lines are subject to.

• Reviewing and mapping data.

• To engage with HK Compliance CM, WM and I&TS to enhance or develop, as appropriate (on an ongoing basis), the following elements within the RCM tool:

- Regulatory requirements / environment

- Inherent risk assessments

- Controls

- Residual risk assessments

 

AUTHORITIES, IMPACT, RISK

• Part of HK Compliance function.

• Will encounter complex issues, projects and processes.

• Specific impact or potential consequences of approvals/recommendations

(e.g. actual dollar cost/savings; reputational risk, etc.)

 

KEY RELATIONSHIPS

• Reports to Head of Compliance, HK

• HK Compliance team

• APAC RCM Project Manager

• 1st Line of defence stakeholders

 

JOB SPECIFICATIONS

Required:

• Excellent organisational and project management skills

• Excellent written skills

• Experience working in/with Compliance teams

• Ability and willingness to accept accountability, demonstrate initiative, work

with limited direct supervision and support effective cross-platform cooperation,

information sharing etc.

• Good working knowledge of Microsoft Office products

Preferred:

• Ideally educated to at least first degree level with a relevant degree, hold a recognised relevant professional qualification.

 

COMPETENCIES

Behavioural

• Professional demeanour

• Strong interpersonal and communication skills

• Partnership mentality with respect to the rest of the Company/Enterprise

• Strong time management and organisation skills / ability to meet deadlines

and work under pressure

• Flexible, team player

• Proactive approach and ability to work on own initiative

• Ability to conduct duties expediently, aptitude for accuracy, attention to details

• Hands-on approach

Technical

• Analytical skillset with attention to detail

• Solid working knowledge of Microsoft Office products incl. MS Project

C O M P L I A N C E , R I S K & WORK HEALTH AND SAFETY

 

RESPONSIBILITIES:

In addition to the responsibilities outlined above you will also be responsible for the following:

1. Ensuring the health and safety and welfare of yourself and others at work and complying with systems put in place to manage health and safety. The specific responsibilities for Work Health and Safety are covered in the Work Health and Safety Policy.

2. Ensuring that you understand and adhere to your compliance responsibilities, specifically (but not limited to):

i)  Company Code of Conduct – you are responsible for ensuring that you familiarize yourself with the contents of this Code and with any of the more detailed policies that may directly affect you or your work. Based on the eight Guiding Principles established by the company, the Code of Conduct is for all affiliated companies and applies equally to all employees.

ii)  SO.00.00.00 Trading Management Framework - If you are front office employee you are responsible for ensuring that you familiarize yourself with the contents of this Standing Order which provides for additional minimum standards of behaviour for traders, salespeople, marketers and the business management of trading portfolios.

iii)  Personal Trading and related accounts – you are responsible for ensuring that all transactions on your personal and related accounts involving the trading of securities are pre-approved by the Compliance Department and in the absence of an approved exemption executed through the permitted external brokers (E-Trade or Macquarie).

iv)  Chinese Walls – you are responsible for ensuring that you understand and adhere to the Firms policy regarding the flow of

information between private side and public side businesses and trading/advisory functions.

v)  Electronic communication, Computer and Surveillance policies, standards & guidelines - you are responsible for ensuring that you understand and adhere to the Firms policy on the use of the Firms electronic data, software and hardware, the application of information security and privacy and the use of workplace surveillance.

3. Ensuring that you understand and adhere to your responsibilities in respect of the Standing Orders that are applicable to your role.

Employees are reminded that Standing Orders consist of policies and procedures that are binding upon all employees and may not be superseded or amended in any way without the specific prior written approval of the Senior Vice President, Group Risk Management, Market & Trading Credit Risk; or in the case of Funding, Liquidity, Balance Sheet Management and certain Interest Rate Risk (Non-Trading) policies, Corporate Treasury executive.

4. Proactively identify operational risks/ control deficiencies in the business.

5. Review and comply with Firm Policies applicable to your business activities.

6. Escalate operational risk loss events, control deficiencies and risks that you identify to your line manager and the relevant risk and control functions on a timely basis.

 

TIME ALLOCATION

• 100% RCM project management / regional coordination, including reporting

 

WORKING CONDITIONS

• Office environment

• Fast pace / work under pressure

• Multi-tasking

• Complex, non-routine issues, often with imperfect information

Level

Consultant

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