Description
PIMCO is seeking a Regulatory Compliance VP to support general business and regulatory compliance matters for Hong Kong and provide periodic regional coverage for other offices in North Asia.
The primary responsibilities include managing and administering the firm’s compliance programme covering areas on compliance programme monitoring, vendors and distributors onboarding and regular review, KYC/AML, trade surveillances, staff trading, marketing materials review, SFC-authorised fund authorization, maintenance of licenses, compliance training, managing internal and external audits, handling regulatory enquiries, regulation implementation and policies review, monitoring and testing of compliance programme and inspections and other regulatory requirements.
Main Responsibilities:
- Assist all aspects of the firm's compliance program.
- Provide regional coordination in relation to adhoc compliance projects in North Asia.
- Participate in joint initiatives between regulatory and investment compliance teams in APAC.
- Provide regulatory support including policies review and regulation implementation, managing licensing, reporting and conduct requirements.
- Conduct and monitor trading activities on the trade floor addressing concerns on market mis-conducts, insider dealing, conflicts.
- Perform compliance reviews of the firm's marketing materials, product-related documents and client correspondence.
- Conduct compliance monitoring and testing against local regulatory requirements, industry best practice and company policies and procedures.
- Perform AML and sanctions checking.
- Manage audits and regulatory reviews.
- Handle various regulatory interactions including maintaining an effective documentation, notification and filing.
- Administer compliance programme on SFC-authorised funds.
- Advise and guide business on group policies revisions and regulatory compliance developments and help design and enhance an effective compliance programme to implementation.
QUALIFICATIONS:
- At least 10 to 15 years working experience in compliance and/or audit in financial services with primarily exposure to asset management.
- Degree qualified in either a finance/accounting/law discipline.
- Strong communication skills including bilingual skills in English and Chinese (spoken and written preferable).
- Confident, self-motivated, resourceful and able to take initiative and work autonomously.
- Ability to work under pressure with good organization and time management skills.