China Compliance Manager

The Hong Kong Jockey Club
Hong Kong
292 days ago

Our Legal Services Department provides legal support to all business units of the Club and associated companies. The Club's diverse business operations require the legal team to help the business units deal with complex matters by identifying risks and complications, guiding the business units around those obstacles whilst preserving the Club's reputation and integrity.


You will:
  • Lead and train the Guangzhou compliance team in implementing and putting the Club's compliance programs in smooth operation at Conghua Racecourse (CRC) in the identified compliance areas at CRC (i.e. Environmental Impact Assessment, Cross Border Horse Movement, Occupational Health and Safety, Fire Safety Management and Equine Disease Control). 领导和培训广州合规团队於针对辨识出来的合规领域(意即环境影响评估、跨境马匹运输、职业健康和安全、消防管理和马匹疾病控制)在从化马场实施和操作马会合规项目。
  • Ensure relevant legal and regulatory compliance exposures are identified, communicated and appropriately managed and mitigated by business units, and that the respective roles and responsibilities of the three lines of defence are understood.确保业务部门识别和知悉相关的法律和监管合规风险,并且确保有业务部门管有并适当管理和规避这些合规风险,并理解三道防线各自的作用和责任。
  • Ensure that CRC Business Units are informed of all legal and regulatory obligations applicable to the above-mentioned compliance areas. 确保CRC业务部门知悉适用于上述合规领域的所有法律和监管义务。
  • Provide compliance advice to the BUs to support their business activities and/or new initiatives in complying with applicable legal and regulatory compliance requirements, and to include in BUs' process and procedures necessary internal controls to mitigate noncompliance with relevant obligations. 向业务部门提供合规建议,以支持其业务活动和/或新业务开展符合适用的法律和法规合规要求,并支持业务部门在其相应的流程和程序中包含必要的内部控制,以减轻不合规的情况。
  • Identify compliance matters and issues for management's attention and conduct gap analysis if necessary. 识别合规问题以供管理层关注,并进行差距分析。
  • Provide regular reports to the HoC and Executive Director, Legal & Compliance any issues and areas of improvement identified in the above-mentioned compliance areas and provide recommendations on addressing compliance issues. 定期向合规主管和法律及合规事务执行总监汇报上述合规领域发现的任何问题和改进空间,并就合规问题提出建议。
  • Monitor status of BU's mitigation plans when compliance issues are identified so that compliance issues can be closed out promptly. 当发现合规问题时,监控业务部门改正违规行为并减轻违规影响计划的实施进度,以便合规问题能够及时解决。
  • Implement the Club's compliance training programmes and conduct compliance training.执行马会的合规培训程序并开展合规培训。协助业务部门审阅各自的培训材料。
  • Escalate compliance issues to senior management as necessary, including the preparation of compliance reports, and board/ committee papers. 必要时将合规问题上报高级管理层,包括编制合规报告和呈报董事会/委员会的文件。
  • Support Mainland Affairs and/ or CRC General Manager in their handling of inquiries or communications with regulators. 协助内地关系部门和/或CRC总经理处理监管机构的询问和沟通。
  • Assist BUs in conducting maturity assessments of compliance programs and where necessary, to advise BUs on action items to improve their compliance programs. 协助业务部门对其合规项目的完备程度进行评估,并在必要时就行动项目向业务部门提出进一步行动建议,以改进其合规计划。
  • Monitor and analyse any updates / new laws and regulations applicable to the businesses and liaise with BUs to review and support them to, where necessary, revise their procedure to ensure compliance with any new / updated legal and regulatory requirements. 监控和分析适用于业务的任何法律法规的更新,并与业务部门联络以审查和在必要时支持业务部门对其业务运营程序进行调整,以确保符合任何新/更新的法律和法规要求。



The level of appointment will be commensurate with qualifications and experience.


Only shortlist candidates will be notified.

We are an equal opportunity employer. Personal data provided by job applicants will be used strictly in accordance with the Club\'s notice to employees and prospective employees relating to the Personal Data (Privacy) Ordinance. A copy of which will be provided immediately upon request.
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