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
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your resume and details on file so when we see similar roles or see skillsets that drive growth in organizations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.
That's why we recommend registering your resume so you can be considered for roles that have yet to be created.
Yes, we help with resume and interview preparation. From customized support on how to optimize your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.