<p><strong><span style="text-decoration: underline;">The Company</span></strong></p><p>We are seeking an experienced Senior Manager, Distribution Compliance for a leading life insurance company in Hong Kong. This role will be responsible for ensuring regulatory compliance across all distribution channels, with a focus on the Insurance Authority (IA) requirements, AML regulations, and other relevant financial services regulations.</p><p> </p><p><strong><span style="text-decoration: underline;">The Role</span></strong></p><p><strong>Regulatory Compliance & Advisory:</strong></p><ul><li>Interpret and implement IA regulations, guidelines, and circulars</li><li>Provide timely and practical compliance advice to all distribution channels (agency, bancassurance, broker, digital)</li><li>Monitor regulatory developments and assess impact on distribution practices</li></ul><p> </p><p><strong>Policy & Procedure Development:</strong></p><ul><li>Develop and maintain compliance policies, procedures, and controls tailored to different distribution channels</li><li>Implement robust compliance monitoring programs for distribution activities</li><li>Review marketing materials, sales illustrations, and customer communications for compliance</li><li><strong>Ensure all distribution channels (including individual agents, insurance agencies and brokers) are kept abreast of updated regulatory requirements and provide compliance related training to all distribution channels.</strong></li></ul><p> </p><p><strong>Monitoring & Surveillance:</strong></p><ul><li>Conduct regular compliance reviews, thematic audits, and ad-hoc checks of distribution channels</li><li>Monitor sales practices, incentive schemes, and customer complaints for compliance risks</li><li>Implement and manage surveillance systems for detecting and addressing compliance breaches</li></ul><p> </p><p><strong>Reporting & Liaison:</strong></p><ul><li>Prepare accurate regulatory reports and submissions to the IA</li><li>Act as primary compliance contact for regulatory inquiries related to distribution</li><li>Report to senior management, Risk Committee, and board on compliance matters, trends, and issues</li><li></li></ul><p> </p><p><strong><span style="text-decoration: underline;">Your Profile</span></strong></p><ul><li>Degree holder, preferably in the disciplines of Business / Accounting / Law.</li><li>Minimum of 10 years' experience in handling compliance matters.</li><li>Solid compliance knowledge on distribution compliance.</li><li>Responsible, proactive with attention to details and be able to work independently.</li><li>Able to provide constructive compliance advice.</li><li>Ability to work under pressure.</li><li>Strong interpersonal skills and good communication skills to communicate with agents/distributors and regulators in both English and Chinese.</li><li>Good command of written and spoken English and Chinese</li></ul><p> </p><p><strong><span style="text-decoration: underline;">Apply Today </span></strong></p><p>To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.</p><p><em>Reference Number: </em>67010-0013347780</p><p><em>By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.</em></p><img src="https://counter.adcourier.com/S2ltYmVybHkuY2hhbi40NTk5OS4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">
Central and Western District, Central and Western District
remote
Permanent
120000 - 200000HKD / Monthly
<p><strong><span style="text-decoration: underline;">The Company</span></strong></p><p>Our client is an International Asset Management firm and looking for a Head of Compliance leading their central compliance functions.</p><p> </p><p><strong><span style="text-decoration: underline;">The Role</span></strong></p><p><strong>Key Responsibilities and Qualifications</strong></p><ul><li>Ensure compliance with all applicable laws and regulatory requirements locally.</li><li>Develop and implement compliance policies and procedures, compliance manuals and other relevant documents for the local entity to meet the requirements of SFC.</li><li>Conduct relevant local regular reporting, notification, application to regulatory authorities accordingly.</li><li>Assess emerging issues and risks and promptly escalate issues to HK CEO, HK and Group Compliance.</li><li>Report compliance activities and audits to HK Compliance and the Board.</li><li>Ensure appropriate corrective actions are taken for deficiencies in the CMS and/or non-compliance.</li><li>Develop, implement and maintain an up-to-date AML/CFT policy that complies with applicable regulations.</li><li>Conduct regular risk assessments to identify and mitigate money laundering and terrorism financing risks.</li><li>Ensure timely and accurate reporting of suspicious activities to relevant authorities.</li><li>Carry out and ensure the implementation of customer due diligence (CDD) and enhanced due diligence (EDD) procedures.</li><li>Conduct KYT due diligence reviews in a timely manner and suggest potential action points.</li><li>Maintain comprehensive records of all AML/CFT activities and reports.</li></ul><p><strong> </strong></p><p><strong><span style="text-decoration: underline;">Your Profile</span></strong></p><ul><li>At least 5 years experience in Compliance functions in SFC Type 1, 2, 4, 5, 9 licensed corporations within the financial services sector.</li><li>Knowledge and understanding of financial services regulations, compliance, policies, processes and procedures (Experience and knowledge in SFC Type 1, 2, 4, 5, 9 Regulation would be deemed essential).</li><li>Knowledge and experience of licensing of SFC would be deemed an advantage.</li><li>Proficiency in compliance applications and programmes such as Sumsub, Chainalysis etc.</li><li>Interest in blockchain and digital assets, and willingness to work with other teams in a highly collaborative start-up fintech environment.</li><li>Well organised, detail oriented, presentable and with excellent communication skills (both verbal and written) in English (Proficency in Mandarin would be deemed an advantage for internal communication, since the company is a multinational one with many Tech employees who can speak Chinese only).</li></ul><p> </p><p><strong><span style="text-decoration: underline;">Apply Today </span></strong></p><p>To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.</p><p><em>Reference Number: 67010-0013352194</em></p><p><em>By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.</em></p><img src="https://counter.adcourier.com/amVzc2ljYS55ZXVuZy42NTgzNy4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">
<p><span style="text-decoration: underline;"><strong>The Company</strong></span><br />We are seeking a detail-oriented Compliance Officer with a background in banking or insurance with experience in Anti-Money Laundering (AML) compliance. The ideal candidate will have a minimum of 1-2 years of experience in name screening and name search activities.</p><p><span style="text-decoration: underline;"><strong>The Role</strong></span></p><ul><li>Conduct name screening and name search to ensure compliance with AML regulations.</li><li>Analyze and assess the risks associated with potential clients and transactions.</li><li>Maintain detailed records of compliance activities and findings.</li><li>Collaborate with other teams to ensure adherence to compliance policies and procedures.</li><li>Stay updated on relevant regulations and best practices in AML compliance.</li></ul><p><span style="text-decoration: underline;"><strong>Your Profile</strong></span></p><ul><li>Minimum of 6 months experience in name screening or related compliance functions.</li><li>Strong understanding of AML regulations and banking compliance.</li><li>Excellent analytical and problem-solving skills.</li><li>Strong attention to detail and ability to work independently.</li><li>Effective communication skills, both verbal and written.</li></ul><p><span style="text-decoration: underline;"><strong>Apply Today</strong></span> <br />To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.</p><p><br /> </p><p><em>By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.</em></p><img src="https://counter.adcourier.com/VmljdG9yLkNoYW5nLjk0NjE4LjEwOTE1QHJoaWhrLmFwbGl0cmFrLmNvbQ.gif">
