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Senior Compliance Manager (Investment & Insurance)

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Job Summary

  • Hong Kong SAR
  • Permanent
  • JN -012024-1954899
  • Jan 26, 2024
  • Competitive
Job Description

Regulatory Compliance position for candidates with experience in wealth management/ Investment & insurance products compliance advisory.


  • Provide advisory services to business units regarding regulatory compliance issues on investment or insurance products/ services.
  • Participate and assist in regulatory compliance-related projects, initiatives and system launch / enhancement.
  • Liaise with regulators, including HKMA, SFC and IA, etc.
  • Collaborate with internal stakeholders to ensure consistency and alignment on investment compliance matters
  • Develop and maintain a comprehensive compliance framework, including policies, procedures, and controls on investment and Insurance.
  • Conduct compliance training for staff in accordance with local regulations and the Bank's policies and training objectives.


  • Degree holder with 7+ years of experience in compliance roles within the banking industry, with a focus on regulatory compliance / investment compliance.
  • Sound knowledge in investment or insurance products, regulatory requirements and the market practices
  • Good command of both written and spoken English and Chinese
  • Candidate with less experience will be consider as manager


Consultant Details

Consultant Details

Calvin Chan
Calvin Chan