CLIENT BACKGROUNDOur client is a well-established financial institution in Hong Kong, offering a diverse range of wealth management and insurance solutions.
They are committed to delivering innovative products and maintaining strong compliance standards across their operations.
JOB RESPONSIBILITYOversee compliance matters related to wealth management investment products, including equities, derivatives, margin financing, and funds.
Manage regulatory compliance for insurance products and services within the banking environment.
Provide advisory support to business units on applicable laws, regulations, and internal policies.
Monitor regulatory developments and implement necessary compliance controls.
Collaborate with internal stakeholders to ensure robust compliance frameworks and risk management practices.
Report directly to the Head of Compliance and assist in strategic compliance initiatives.
JOB REQUIREMENTSBachelor's degree or above in Law, Finance, or related disciplines.5-10 years of compliance experience in banking or insurance, with strong exposure to investment products.
Solid understanding of Hong Kong regulatory requirements (HKMA, SFC, IA).
Experience in handling stocks, derivatives, margin financing, and funds.
Familiarity with insurance compliance; candidates from insurance firms are welcome.
Proactive, adaptable, and able to work independently in a fast-paced environment.
