• 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


  • 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

You can apply to this job and others using your online resume. Click the link below to submit your online resume and email your application to this employer.