Manager to SM, Investment & Insurance Compliance (Compliance and Legal...

Banking / Finance • Full Time • Central And Western District, Hong Kong, HK • 3d ago

Job Descriptions:

Lead a Investment and Insurance Compliance team, as a partner to the business, supporting growth aspirations whilst retaining the appropriate compliance risk management discipline
Manage the relationship with regulator by coordinating enquiries and investigations by HKMA, SFC or MPFA or IA and participate in investment related complaint handling team to ensure all these complaints are properly handled
Assist in reviewing new product proposals, policies and procedures relating investment and insurance products to draw attention to compliance concerns
Provide advice to different departments and the Group’s subsidiaries those are regulated entities 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
Conduct assigned compliance reviews and follow up on action plans and remediation efforts

Job Requirement:

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, IA or MPFA etc.), banking, securities or investment
Experienced in dealing with regulators with successful track record in leadership and influencing skill is essential
Significant investment and insurance compliance experience with sound knowledge of SFO, SFC code of conduct and rules, IA Code of Conduct and Guidelines and MPFSO and MPFA code
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)

Interested parties, please click Apply Now for application.

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