Compliance and Risk Manager
Salary HKD1,000,000 - HKD1,500,000 per annum
Location Hong Kong IslandFULL_TIME
Consultant Ricky Mui
Date posted 07 September 2018 2018-09-072018-11-06 legal 41 Connaught Road Central Hong Kong Robert Walters Hong Kong
Our client is a major international law firm focuses on infrastructure, international trade and insurance. With its strong reputation in over 120 countries around the world, the law firm is looking for an experienced Compliance and Risk Manager (APAC) to join their team. The successful candidate will be in charge of the APAC region and part of a global compliance and risk team with headquarters in UK.
• Point of contact for the APAC region for BCP Planning, liaising with Risk Partners in the Asia Pacific region to inform and support their activities.
• Promoting and developing a risk management culture across the Asia Pacific region, working with fee-earners and business service departments to help them understand and mitigate risk.
• Monitoring the appropriateness and effectiveness of the region's risk management procedures.
• Assisting in the design and implementation of systems to ensure key guidance and precedents are applied in practice.
• Assisting with the regular review and updating of the firm's policies and procedures, risk registers, breach registers, compliance plans, engagement letters and other documentation and records.
• Helping to design and deliver effective training and awareness programmes and materials for lawyers and other staff such as Finance and HR.
• Providing guidance to partners and other fee-earners in response to risk queries in relation to engagement letters and other contractual documents, including the review of key client terms and proposed service level agreements.
• Advising internally on the professional conduct and ethical obligations of lawyers, both as a matter of general awareness and in specific circumstances.
• Researching legal and regulatory issues, producing related guidance, practice notes, templates and training materials.
• Working with BAU to ensure appropriate risk-based approaches are adopted and that any client conflicts are resolved quickly and efficiently
• Keeping abreast of SRA rules and changing legal and regulatory requirements in the Asia Pacific region, including restrictions on operating in overseas jurisdictions and compliance with relevant law society or local bar guidance.
• Working with the APAC Deputy COO and Risk Partners to ensure the notification requirements of local regulators/ professional bodies/ statutory bodies are complied with.
• Working with the APAC Deputy COO and Risk Partners to ensure any deadlines regarding the renewal of local licences (e.g. data protection registrations) are complied with.
• Liaise with relevant personnel within the firm regarding any concerns about money laundering or terrorist financing and assisting in relation to any reporting required.
• Qualified lawyer in Hong Kong, Singapore or any other Commonwealth jurisdictions UK, Australia.
• Minimum of 5 years of experience in a compliance or risk-related role within a professional services organisation.
• Excellent communication and interpersonal skills.
• Ability to write clear, accurate and practical guidance and precedents.
• An understanding of the UK Solicitors Regulation Authority (SRA) requirements, as well as other regional regulatory requirements to act as escalation point for HR related queries.
• Experience reviewing SLAs and advising on appropriate content to include in BD pitches with a view to maintaining appropriate levels of confidentiality.
• Broad understanding of sanctions in place across the region and resultant restrictions on staff (e.g. US, Myanmar).