Description
A career at Lombard Odier means working for a renowned global wealth and asset manager, with a strong focus on sustainable investing.
As Head of Compliance, you will support the effective implementation and oversight of compliance programs, policies, and controls, and serve as a key point of contact for business stakeholders, risk functions, and regional and group compliance partners.
Key Responsibilities:
- Monitor local regulatory developments and advise senior management on resulting impacts or compliance needs.
- Ensure timely, complete, and accurate reporting to senior management and regulatory authorities, and support audit and risk control functions.
- Advise and support the business on Compliance risk and mitigation, including staff training and contribution to broader compliance training programs.
- Implement and update internal policies and procedures in line with local and group requirements.
- Manage compliance risks to ensure effective identification, control, and reporting.
- Ensure adherence to group and local policies with regards to the acceptance and oversight of clients, products, and services.
- Investigate actual or potential breaches of law, regulation, policy, and procedures and escalate accordingly.
Financial Crime Compliance (FCC) Program:
- Ensure adherence to Group and Local policies with regards to the FCC program.
- Act as Money Laundering Responsible Officer (MLRO) for HK.
Requirements:
- A university degree or equivalent with strong academic credentials.
- Prior Compliance experience in a Private Bank.
- Prior working experience with regulators (HKSFC, HKMA) preferred.
- Prior experience in dealing with regulators and auditors in relation to audits and inspections.
- Understanding of the laws, rules, regulations, and industry best practices.
- Knowledge of financial markets and products.
- Meticulous and analytical, able to think strategically on issues and propose potential resolutions proactively.
- Have sound judgement in escalation and risk handling.