The Role
The Risk and Compliance Officer will support the Risk and Compliance Lead by implementing, monitoring, and enhancing the risk and compliance management framework in the INDEX HK business.
As part of the Risk and Compliance function, the Risk and Compliance Officer will support compliance related activities including process and procedure development, general compliance monitoring and reporting. Also, the role will assist to provide an independent assessment of risks, including operational and support the business to ensure adequate and effective controls are implemented to manage such risks within the Group’s risk appetite.
The role holder will need to proactively communicate and engage at all levels within the business to assist with identifying, analysing, mitigating, managing, and monitoring the risks that arise.
The role holder will be expected to actively collaborate with their peers to support the development of a leading Risk & Compliance function in HK and enable the business to achieve its business objectives within INDEX’s risk and compliance management frameworks and risk appetite.

Key Accountabilities and Main Responsibilities
Strategic Focus
Implement Risk and Compliance framework for Hong Kong, ensuring alignment to Global Risk and Compliance framework and standards including Risk and Internal Control methodology and processes alignment.
Work collaboratively with the wider team to support the business to build and embed an effective risk culture.
Support the business to achieve its strategic objectives while ensuring compliance with legal and regulatory requirements, and within the INDEX’s risk appetite.

Operational Management
Work with Heads of Function and Risk Champions in the business to identify, analysis, mitigate, manage, and monitor risks.
Support efforts to identify, analysis, and assess proposals for newly identified risks within the business, including new products, variations in products and / or business acquisitions.
Monitor relevant local regulation developments ensuring emerging issues and risks are identified and communicated to the team.
Provide risk and compliance support to assigned ‘projects’, including new business and change initiatives. This includes review and provide feedback to BRD and other project documentation as and when required.
Provide proficient advisory support on compliance related matters covering Pensions/ORSO and wider Banking sector
Provide specialist risk management advice on risk events related matters and coordinate incident escalation and monitoring of the issues.
Participate in risk and compliance related training to individuals and groups of staff as and when required, including providing relevant knowledge into the training materials.
Support Division Risk Committees specific to Hong Kong business for reporting into the Management.
Ensure the frameworks managing compliance obligations and other controls are robust and adheres to regulatory requirements, guides, and standards.
Undertake risk assurance reviews in line with the Business requirements.

People Leadership
Develop relationships with key internal and external stakeholders to ensure effective and efficient service delivery and fostering a culture of Risk awareness through all interactions, which is consistent with INDEX’s core values.
Own your own development; maintain and implement personal development plan in partnership with line manager.
Maintain a positive and professional work environment.

Governance & Risk
Ensure adherence to INDEX risk framework, policies and legal and regulatory requirements including monitoring and reporting of the Company’s legislative and regulatory obligations.
Attendance at relevant internal and external forums/ committees.
Support INDEX assurance programs that deliver effective risk management and compliance practices.
Compile, assess, and report risk information to management and also assisting the Company to ensure that risk levels remain within the agreed risk appetite.

Experience and Personal Attributes
Qualifications in Business, Commerce, Law or a related field are desirable but not essential, combined with ongoing professional development, such as post-graduate or vocational study.
Minimum 3 years’ relevant experience in Risk and/or Compliance roles.
In depth knowledge and experience of best practice risk management methodologies and emerging practice in financial services, including in relation to operational resilience.
An experienced and skilled communicator at all levels, who inspires confidence, influences and motivates others.
A self-starter with sound judgment who is decisive and able to priorities, with a track record of setting and achieving objectives.
A progressive mind-set, with extensive knowledge of Pensions/ ORSO legislation and regulations which can support the development of the Risk and Compliance function. Knowledge of Banking, Securities and Futures and Insurance regulations and key developments an advantage.
Numerate, with a sound understanding of business models and a strong commercial acumen.
Resilience, adaptability, energy, authenticity, and openness.
Personal commitment to risk policies and the INDEX code of conduct, including a demonstrated pragmatic approach to risk management.
High levels of problem-solving ability, with clear decision-making skills that can analysis complex information, in a way that drives resolution.
Experience operating in a highly regulated and complex environment.

Our Culture
We are an inclusive employer whose people work collaboratively. We encourage, support and value the various talents and perspectives of our people and promote a flexible and blended work environment where our people can thrive, and their wellbeing is supported. We know that diversity drives better client outcomes, continuous improvement, and growth. Be part of our company and together we will achieve our full potential.

We treat all individuals fairly and equitably and do not discriminate on the basis of diverse characteristics including, but not limited to gender, gender identity, sexual orientation, age, ethnicity, cultural background, physical abilities/disabilities, religious or political belief, marital or family status or carers responsibilities.