Description

CLIENT BACKGROUND

Our client is a well-established financial institution in Hong Kong, offering a diverse range of wealth management and insurance solutions. They are committed to delivering innovative products and maintaining strong compliance standards across their operations.

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.