VP - Insurance and Investment Compliance
Full time
at TalentQuest HR Limited
in
Hong Kong
Posted on May 8, 2024
Job details
Key responsibilities
- Responsible for leading the Investment & Insurance Compliance to coordinate and follow up on the latest regulatory requirements and provide compliance related advice to business units.
- Take part in following up on regular requests and enquiries raised by HKMA or other regulators to ensure proper and timely submission
- Escalate compliance issues to senior management to ensure the risks of compliance are managed
- Coordinate and drive the gap analysis for new/revised SPMs and regulatory updates with impacts on bank operations
- Make sure the compliance awareness and compliance culture of the firm is up to standards and communication with the business and supporting unites are enhanced.
- Provide training on investment and compliance matters to related parties and business units when necessary
- Contribute to enhancement on the overall risk management of the firm
- 10 years + of working experience in regulatory compliance, preferably focusing on investment and insurance compliance
- Good knowledge of Investment and Insurance Products such as securities, funds and bonds
- Good knowledge of Banking rules and regulations including Banking Ordinance, Securities & Futures Ordinance & HKMA Supervisory Policy Manual
- Ability to set up meetings, articulate issues with clear communication and follow up with responsible parties
- Degree holder in Business, Finance, or related disciplines
- Proficiency in English and Cantonese, Mandarin is a plus
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