Regulatory Compliance Lead - Linnovate Partners Limited - Kwun Tong

Job Highlights
Fund administrator
Dynamics working environment
Immediate available
Job Description

About the job

To cope with our business growth, we are looking for a Regulatory Compliance Lead to join our Hong Kong team. The successful candidate will be responsible for maintaining regulatory compliance by researching and communicating requirements and primarily reviews documentation for new customer accounts, evaluates high-risk accounts and analyses new customer processes and policies.

Job Responsibilities:

Manage and execute policies and procedures which govern an organizations compliance program
Monitor and test policies and procedures to ensure they can result in compliance
Keep an eye on the performance of the compliance program, carry out risk assessments and compliance reviews to ensure policies and procedures are being followed
Liaise with legal and regulatory bodies on compliance-related issues
Ensure that the organization complies with existing and developing federal and state laws and regulations
Responsible for the creation and update of the Compliance and Ethics Program Plan and ensure its execution
Responsible for establishing and setting the tone of compliance throughout the organization
Recommend the initiation of investigative procedures in response to alleged violations of rules, regulations, policies, procedures, and the Code of Conduct
Carry out periodic evaluation of the compliance Programs and make appropriate changes and improvements
Preside over and direct the work of the Compliance Committee
Govern the responsibility to report misconduct and noncompliance, the path for reporting, and protection from retaliation
Provide guidance on the effective response to detected problems and proffer recommendations for corrective action as appropriate.

Skills and Qualifications:

The requirements listed below are representative of the knowledge, skill, and/or ability required:

Bachelor’ degree in relevant disciplines;
10+ years’ experience;
Strong organizational skills;
Strong interpersonal and client serving skills;
Mature, self-motivated, detail-minded and able to work under pressure;
Good problem solving skills and team player;
Good time management and multi-tasking skills.
Additional Information
Career Level
Senior
Qualification
Degree
Years of Experience
10 years
Job Type
Full Time, Permanent
Job Functions
Professional Services, Legal & Compliance
Company Overview

Linnovate Partners is a next-generation asset servicing firm dedicated to alternatives, providing premium services to discerning investors and managers who demand a higher level of flexibility, detail and customer care. With over USD$60bn of assets under administration (AUA), our vision is to transform the industry by introducing automation to unlock added value and simplify processes and enable our international team of business professionals to help our clients at a higher level.

As a fintech-enabled service provider, we keenly pursue opportunities to improve portfolio and fund management with technology. That is why we are building an ecosystem that links entrepreneurs, fund managers, investors and other participants together for the first time.

We decided to start the business in Hong Kong to take advantage of the well-established business infrastructure, depth of human resources, legal system, and business friendly policies.

Application link: https://hk.jobsdb.com/hk/en/job/100003008484336/apply-preview?fr=SRP%20Job%20Listing&jobId=100003008484336&searchPath=%2Fhk%2Fjobs%2Fprofessional-services%2F2&sectionRank=49&token=0~eff136c2-6f07-400f-8539-e9fbba2a8fb4&trackData={"ApplySource"%3A7}