Manager to SM, Investment & Insurance Compliance (Compliance and Legal...

Job Descriptions:

• Lead a Investment and Insurance Compliance team, as a partner to the business, supporting growth aspirations whilst retaining the appropriate compliance risk management discipline
• Manage the relationship with regulator by coordinating enquiries and investigations by HKMA, SFC or MPFA or IA and participate in investment related complaint handling team to ensure all these complaints are properly handled
• Assist in reviewing new product proposals, policies and procedures relating investment and insurance products to draw attention to compliance concerns
• Provide advice to different departments and the Group’s subsidiaries those are regulated entities on compliance and regulatory related matters to help them to meet regulatory requirements
• Review product documents and marketing materials of different departments to ensure they meet regulatory requirements
• Disseminate Circular and Guidelines from regulators and ensure the relevant parties compliance with the regulatory requirement
• Assist in conducting survey, self-assessment and questionnaire of regulators
• Conduct ad-hoc investigation on non-compliance matters and monitor remedial action to ensure violation of internal and external rules are properly addressed and prevent recurrence of such incidents
• Conduct assigned compliance reviews and follow up on action plans and remediation efforts

Job Requirement:

• University graduate with major in Business, Finance, Banking, Law or relevant disciplines
• At least 4 years of relevant experience gained from regulators (e.g. SFC, IA or MPFA etc.), banking, securities or investment
• Experienced in dealing with regulators with successful track record in leadership and influencing skill is essential
• Significant investment and insurance compliance experience with sound knowledge of SFO, SFC code of conduct and rules, IA Code of Conduct and Guidelines and MPFSO and MPFA code 
• Self-motivated, independent and able to work under pressure with team management experience
• Good command of both written and spoken English and Chinese (including Putonghua)