AVP / Manager – Investment & Insurance Compliance

Responsibilities:

• Work in the Investment & Insurance Compliance Team to follow up latest regulatory requirements and provide compliance related advice to business/support units in compliance with regulatory requirements;
• Conduct sample checking on selling process of investment & insurance products, handle staff dealing & licensing and participate in the projects on new products & services development relating to compliance;
• Coordinate gap analysis for new/revised SPMs and regulatory updates with impact on the Bank’s operations and procedures;
• Assist in the formulating and executing compliance assurance projects;
• Make recommendations to business units in improving & reinforcing compliance standards;
• Cultivate compliance culture and raise compliance awareness among staff by enhancing communication with business and supporting units and providing compliance training when necessary; and
• Perform other ad hoc projects or assignments.

Requirements:

• University degree in Business Administration, Risk Management or related discipline;
• Minimum 3 years’ working experience in regulatory compliance, preferably focus on investment and insurance compliance;
• Sound knowledge of investment & insurance products such as securities, funds and bonds;
• Conversant with banking rules and regulations including Banking Ordinance, Securities & Futures Ordinance and HKMA Supervisory Policy Manual;
• Good team player with strong communication and interpersonal skills, able to work with stakeholders at different levels