Director - Compliance Assurance and Review

  • Attractive Package
  • Hong Kong
  • Permanent, Full time
  • Eames Consulting Hong Kong , EA Licence No: 16S8091
  • 15 Aug 17

Exciting opportunity to join this expanding Fintech as they build out their compliance team. Newly created function reporting to the Head of Compliance, focusing compliance assurance & review.

This growing and reputable fintech firm is looking to hire a highly effective, detailed-oriented, team-spirited and adaptable compliance/regulatory audit senior professional to lead their compliance assurance and review function. This person will work closely with legal and compliance professionals, various stakeholders in Risk, Internal Control and Audit, Business and Operations teams to drive the regulatory risk assessment process, and execute the compliance assurance and review plan.

The ideal candidate will be a confident self-starter with strong interpersonal skills, and demonstrate the ability to effectively and proactively exercise good judgment in a fast paced environment as well as cultural adaptability.  

Key responsibilities:

  • Develop and implement the regulatory risk assessment exercise across Ant’s international businesses focusing on regulatory & licensing, AML/Sanctions and privacy risks.
  • Design and execute the compliance assurance and review plan driven by the results of the risk assessment exercise.  
  • Institute a set of assurance and review methodology tailored to a fast-paced fintech environment that is robust and yet nimble to effectively mitigate the regulatory risks as the company expands internationally.
  • Lead and conduct effective compliance assurance and review testing in accordance with established methodologies.
  • Provide periodic assurance and review progress summary to senior management and stakeholders.
  • Collaborate with Internal Control and Audit, as well as other 2nd line risk control functions to improve overall control environment and promote sustainable growth

Key requirements:

  • Bachelor degree in accounting, business or finance or equivalent work experience.  Prior audit and regulatory supervision work experiences strongly preferred.
  • At least 10 - 15 years of relevant experience with regulatory audit, compliance and/or operational risk
  • Strong regulatory/compliance knowledge and skills. Strong ability to understand governance, processes and controls.
  • Knowledge of FINTECH, mobile technology, payment systems, money transmitter licensing and stored value licensing and similar legal and regulatory requirements
  • Strong leadership and communication skills and a team player (yet the ability to work independently) who can work under pressure and inspire confidence in others.
  • Excellent command of both spoken and written English and Mandarin Chinese.
  • Substantial business travels (in Asia and internationally) to be expected.