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Job Description:

Job description

To assist the Hong Kong Business Unit Compliance Officer (BUCO) under the supervision of Director (Life & Health and Strategic Initiatives), the Associate Director has to promote, facilitate, implement, monitor and assess compliance requirements; and to facilitate the identification and management of compliance risks that are relevant to the activities of Sun Life Hong Kong.

Specially, this role will assist the BUCO and the delegate to manage SLHK business compliance matters, promote compliance culture with focus on privacy program, and all types of 2nd line product compliance responsibilities including regulatory submission. The role is expected to deploy digital/GenAI to streamline or enhance the level of assurance and occasionally contribute to other business/compliance programs.

Responsibilities

Compliance Program

Assist Business Unit Compliance Officer (BUCO)/the delegated to develop, implement and monitor the risk-based compliance plan covering the relevant regulatory requirements as well as those under Corporate Compliance Risk Management Framework (CRMF) and the latest OSFI E13 Regulatory Compliance Management requirements.

Implement the CRMF baseline activities whilst balancing the business priorities with our governance, risk management and oversight requirements.

Establish and maintain strong collaboration with other assurance parties and first lines to embed the 3 Lines of Defense model and enhance business ownership of compliance risks.

Continue to assist business to implement the regulatory changes/remediation projects timely in cost effective manners and align with business.

Acting as the subject matter expertise, work closely with the regional and corporate compliance teams to implement the relevant compliance program (predominately privacy and market conduct relevant to product) and assist business to implement them in the local business environment.

Digital, Data & Analytics:

Provide compliance support to business initiatives with particular in product/regulatory approval and Deepening Client Relationship initiatives.

Assist the Director to make use of AI/data analytics to streamline/reinforce the compliance advisory and assurance program.

Compliance Assurance

Follow the latest corporate testing and monitoring requirements under OSFI E13 to evolve the current compliance assurance program.

Support the assurance monitoring activities and where possible, increase the efficiency by integrating the existing corporate monitoring initiatives with local regulatory requirements.

Support business to establish of the Key Risk Indicator relating to the key compliance concerns and new business initiatives.

Assist the BUCO to prepare and deliver the relevant report for the Board of Directors or oversight committees.

Compliance Advisory

Advise and assist business to identify, implement and monitor the business compliance risks arising from new business initiatives.

Work closely with BUCO to reinforce the current compliance controls to enhance the efficiency of compliance activities.

Act as key contact with regulator under the responsible areas and maintain good working relationship. Maintain effective process to maximize regulators resources for regulatory approval/audit and other regulatory activities.

Talent and Culture

Coach junior compliance staff or business partners to meet the corporate compliance mandate and work closely with the BUCO to develop the Compliance team succession plan and staff development plan.

Influence the team to proactively manage compliance issue with pragmatic advice and alignment “Client For Life” strategy.

Assist business to develop strong compliance culture to manage the regulatory risk proactively in accordance with OSFI E13 requirements.

Assist to deliver necessary compliance training and awareness program.

Requirements

University graduate

At least 6 years of relevant working experience and 3-5 years prior working experience in compliance /audit/ internal controls related area

Strong familiarity with Hong Kong legislation and regulatory environment

Familiar with IA and SFC Product / PCPD Data Privacy regulatory requirements

Legal, accounting and risk management professional qualifications is preferred

Able to deliver innovative solution with priority consideration and leveraging data and technology

Competent in manage complex compliance issue across border and able to engage and influence business to accept balanced advice from compliance

Strong ability to drive for positive outcome and optimize work process

Good interpersonal skill to work effectively with people across the organization and regulators and able to build cooperative relationships

Strong analytical abilities and good judgement

Work independently as well as a good team player

Fluency in both spoken and written English with strong written skills

We offer 5-day work, attractive salary, MPF, group life and group medical insurance; and excellent career development opportunities to the right candidate.

We are an equal opportunity employer and welcome applications from all qualified candidates. Application forms and resume will be kept for a period of 24 months after completion of the recruitment process. (All information will be held in strict confidence and only be used for recruitment purpose).

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