Associate Director, Pension and Investment Compliance
Core
Senior compliance advisor and second line of defence partner for pension, trustee, and investment businesses, ensuring regulatory compliance and managing fiduciary duties.
Role type
Senior IC compliance director (pension and investment)
Builds
Effective compliance programs, risk control frameworks, and regulatory reporting for pension and investment activities.
Domain
Financial services (Pension, Trustee, Investment)
Required skills
Regulatory compliance, fiduciary duty oversight, risk assessment, governance committee participation, service provider monitoring, regulatory impact analysis, stakeholder management, reporting to the board, product compliance review.
Preferred skills
Experience with Hong Kong and Macau pension regulations, trustee licensing, investment governance frameworks.
Technologies
N/A
Responsibilities
Oversee trustee service monitoring framework and safeguard member interests; Provide independent compliance advice on regulatory issues and business projects; Monitor compliance with internal investment governance requirements; Design and enhance compliance monitoring programs for service providers; Assess compliance and regulatory risks to inform business decisions; Review product and marketing materials for regulatory adherence; Liaise with Principal Intermediaries on sales conduct guidelines; Report key regulatory developments and compliance issues to the Board of Directors.