CLIENT BACKGROUND
Our client is an established bank in the region. Has a team of 8 and is looking for a candidate for Investment & Insurance Compliance experience.
JOB RESPONSIBILITY
- Developing, implementing, and maintaining comprehensive compliance policies, procedures, and controls for the bank's investment and insurance operations.
- Providing expert guidance and advisory support to the investment and insurance teams on regulatory requirements, industry best practices, and emerging compliance risks.
- Conducting regular compliance reviews, risk assessments, and monitoring activities to identify and mitigate compliance breaches or control weaknesses.
- Liaising with regulatory authorities and industry bodies to stay updated on the latest compliance regulations, guidelines, and industry developments.
- Designing and delivering compliance training programs to relevant business units to promote a strong compliance culture.
- Investigating and resolving compliance incidents or complaints, and reporting findings to senior management.
- Collaborating with other compliance, risk, and control functions to ensure a consistent, enterprise-wide approach to compliance management.
- Maintaining comprehensive compliance records and reporting on key compliance metrics and indicators.
JOB REQUIREMENTS
- Minimum 4 years of compliance experience in the banking or insurance industry
- Degree in Finance, Accounting, Law, or a related field
- Strong understanding of relevant laws, regulations, and industry guidelines applicable to investment and insurance activities in Hong Kong
- Proven track record of developing and implementing effective compliance frameworks and controls
- Excellent analytical, problem-solving, and communication skills
- Ability to work collaboratively with cross-functional teams and stakeholders
- Professional certifications (e.g., CAMS, CIRC) would be an advantage
