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The Job

  • Act as a primary contact point with regulators (SFC and MPFA)
  • Keep abreast of relevant legislations, regulations and codes on SFC RA1 and MPF PI, and establish relevant compliance obligations
  • Monitor routine compliance functions such as the filing of regulatory returns, the submission of reports and compliance confirmation to regulators
  • Review materials relating to products, sale process, training and marketing for adherence to disclosures, and relevant regulatory requirements
  • Participate in the annual compliance cycle planning, including Annual Compliance Plan, monitoring test plans and training plans
  • Conduct regular compliance risk assessments and monitoring tests, and identifies the related issues for appropriate remediation and escalation
  • Maintain relevant Compliance Manuals and Policies in accordance with latest legislative, regulatory and business requirements

The Person

  • Bachelor degree in business, finance or law from  a recognized university
  • Minimum of 5 years relevant experience in insurance, financial services industry or regulatory bodies in compliance/legal
  • Professional qualification in accounting or law is an asset
  • Understanding of SFC/MPFA regulatory framework, knowledge of insurance industry is an advantage
  • Knowledge of applicable laws, regulations, rules, codes of conduct
  • Knowledge and experience of compliance risk assessments including quantification and thresholds, internal control infrastructure and policy/ guideline development
  • Excellent communication and writing skills
  • Confident and highly developed interpersonal skills
  • Sensitive to confidentiality, corporate structure and management oversight
  • Ability to work independently yet exercising sound judgment on reporting to supervision
  • Ability to handle multiple tasks simultaneously and able to meet deadlines.

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