Compliance Manager - Investment & Insurance
CLIENT BACKGROUND
JOB RESPONSIBILITY
- Oversee compliance matters related to wealth management investment products, including equities, derivatives, margin financing, and funds.
- Manage regulatory compliance for insurance products and services within the banking environment.
- Provide advisory support to business units on applicable laws, regulations, and internal policies.
- Monitor regulatory developments and implement necessary compliance controls.
- Collaborate with internal stakeholders to ensure robust compliance frameworks and risk management practices.
- Report directly to the Head of Compliance and assist in strategic compliance initiatives.
JOB REQUIREMENTS
- Bachelor's degree or above in Law, Finance, or related disciplines.
- 5-10 years of compliance experience in banking or insurance, with strong exposure to investment products.
- Solid understanding of Hong Kong regulatory requirements (HKMA, SFC, IA).
- Experience in handling stocks, derivatives, margin financing, and funds.
- Familiarity with insurance compliance; candidates from insurance firms are welcome.
- Proactive, adaptable, and able to work independently in a fast-paced environment.
- Excellent communication and stakeholder management skills.
FAQs
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