Our client is seeking an experienced Investment & Insurance Compliance Senior Manager to join their team in Hong Kong. This role is critical in ensuring that all investment and insurance activities conducted by the organisation adhere strictly to regulatory and internal compliance standards. The successful candidate will play a key role in shaping the compliance function by partnering with business units and senior stakeholders.
The ideal candidate will possess a comprehensive understanding of the latest regulatory developments in the investment and insurance sectors, with effective risk management and investigative abilities. You will lead the compliance strategy, offering advisory support and enhancing governance frameworks to mitigate compliance risks within investment and insurance services.
Key Responsibilities:
- Oversee and manage compliance frameworks for investment and insurance businesses, ensuring compliance with applicable rules, regulations, and guidelines from regulatory authorities.
- Collaborate with key business stakeholders to ensure effective interpretation and implementation of regulatory changes and requirements.
- Conduct regular compliance risk assessments and updates to policies and procedures accordingly.
- Lead the development and execution of compliance training programmes to promote awareness across the organisation.
- Provide timely compliance advisory services on new products, business strategies, and operational changes.
- Coordinate internal and external audits and handle any regulatory inspections or inquiries.
- Monitor and report on key compliance metrics and escalate issues to senior management where required.
Requirements:
- Bachelor’s degree in Law, Finance, Business Administration, or related discipline. Professional compliance qualification (e.g., CAMS, ICA) preferred.
- At least 8–10 years of experience in compliance within the investment or insurance industry, with prior experience in a leadership role preferred.
- Well-versed in Hong Kong’s regulatory landscape including SFC, IA, and HKMA requirements.
- Strong analytical, organisational, and communication skills, with the ability to influence at all levels.
- Proven ability to interpret complex regulations and apply them to business operations effectively.
- Fluency in English is required; Cantonese and/or Mandarin is an advantage.
