Overview

Responsibilities:

  • Provide compliance advice to business units on various matters including product launch or enhancement, sale and marketing materials, training materials
  • Liaise with local regulators regarding queries and licensing matters
  • Conduct compliance reviews and surveillance monitoring
  • Communicate with business compliance units if necessary
  • Help review and maintain relevant compliance manuals
  • Assist in training to promote compliance awareness
  • Assist in other ad hoc tasks as required

Requirements:

  • Degree or above with major in Law, Banking and/or Finance, Accounting, or related disciplines, or with related professional qualifications]
  • Command of oral and written English and Chinese (Mandarin
  • Familiar with regulatory requirements in Hong Kong on investment and/or insurance
  • Sound knowledge of common investment and insurance products in Hong Kong
  • At least 5 years of working experience in a compliance, legal or regulatory fields of financial services industry gained in Hong Kong regulatory
  • Good interpersonal, managerial, communication skills and cultural awareness
  • Effective time and project management skills
  • Ability to work independently and under pressure

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