Compliance and Control Manager WPB

Professional Services • Full Time • Central And Western District, Hong Kong, HK • 1d ago

Risk & Compliance

Our Risk and Compliance function focuses on delivering effective risk management with strong subject matter expertise to facilitate safe and sustainable business growth. Our team actively manages a dynamic range of risk types. We collaborate closely with businesses, functional units, and regulatory bodies, to embed an effective and comprehensive risk management framework, helping us remain a trusted partner to our customers, our investors, our regulators, and the community that we serve.

We are currently seeking a high caliber professional to join our department as Compliance and Control Manager, Wealth & Personal Banking (Insurance).

Principal responsibilities

Provide compliance advice on regulatory, product, sales process, conduct, controls & monitoring and marketing materials etc., to ensure full compliance with the relevant regulatory requirements and Group Standards.
Provide recommendations to ensure that exposure to regulatory risks/issues are managed in a practical and effective manner.
Working with the Head of Regulatory Compliance WPB Insurance and relevant stakeholders to create an effective Compliance plan to manage the identified risks and develop solutions for mitigation.
Review and advise on the rules / regulations / consultation papers issued by regulatory authorities to ensure timely and effective implementation.
Assist in fostering the compliance culture of the Bank.
Support the implementation and oversight of the businesses' policy and governance frameworks, procedures, practices and standards to ensure quality, effective risk management and regulatory compliance.

Requirements

Degree holder in Law, Accounting, Finance, Business Administration or other relevant discipline.
At least 5 years' compliance / regulatory / compliance related experience with 3 years in the area of insurance compliance preferred.
Experience in dealing with regulators, such as the Insurance Authority, the Hong Kong Monetary Authority, the Mandatory Provident Fund Schemes Authority and Securities and Futures Commission preferred.
Strong communication and inter-personal skills, with experience of dealing with executives at all levels including the capacity to articulate the case for risk management and policy in the language of business.
Experience of dealing with regulatory matters and confident interaction with Regulators.
Great sense of ownership and servicing mindset to ensure efficient and effective customer service processes.

Visit Hang Seng Career Page and sign up with our Talent Community to receive the latest information about our career opportunities in Hang Seng Hong Kong.

All information provided by applicants will be used only for recruitment purposes and will be used strictly in accordance with the Bank's personal data policies, a copy of which may be obtained by the applicant upon request. Unless otherwise instructed in writing by the applicant concerned, applicants may be considered for other suitable positions within the Bank and its related companies. The personal data of unsuccessful job applicants may be retained for a maximum of two years from the date when the job application is rejected and such data may be retained for a longer period if there is a subsisting reason that obliges the Bank to do so, after which the personal data will be destroyed.

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