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Manager to Senior Manager, Investment & Insurance Compliance

Posting Date:  Oct 12, 2021

Hong Kong, HK

Employment Status:  Permanent
Department:  Compliance and Legal Department
Job Description: 

Job Responsibilities


Job Description:

  • Assist in reviewing new product proposals, policies and procedures to draw attention to compliance concerns
  • Provide advice to different departments on compliance and regulatory related matters to help them to meet regulatory requirements
  • Review product documents and marketing materials of different departments to ensure they meet regulatory requirements
  • Disseminate Circular and Guidelines from regulators and ensure the relevant parties compliance with the regulatory requirement
  • Assist in conducting survey, self-assessment and questionnaire of regulators
  • Conduct ad-hoc investigation on non-compliance matters and monitor remedial action to ensure violation of internal and external rules are properly addressed and prevent recurrence of such incidents
  • Manage the relationship with regulator by coordinating enquiries and investigations by HKMA and SFC and participate in investment related complaint handling team to ensure all these complaints are properly handled


Job Requirment:

  • University graduate with major in Business, Finance, Banking, Law or relevant disciplines
  • At least 4 years of relevant experience gained from regulators (e.g. SFC, etc.), banking, securities or investment
  • Sound knowledge of SFO, SFC code of conduct and rules
  • Experienced in dealing with regulators with excellent negotiation skills
  • Self-motivated, independent and able to work under pressure with team management experience
  • Good command of both written and spoken English and Chinese (including Putonghua)