Investment and Insurance Compliance, Manager - Retail Bank
Investment and Insurance Compliance, Manager - Retail Bank
Description
This role offers the opportunity to provide regulatory guidance, engage with key regulators, and contribute to a strong compliance culture within a collaborative and supportive environment.
Key responsibilities:
Provide expert regulatory advice and compliance guidance on investment and insurance products, ensuring adherence to applicable regulations
Partner with business units to assess compliance matters and support responses to regulatory developments and business changes
Develop, review, implement, and enforce compliance programmes, policies, and controls in line with bank and regulatory requirements
Conduct compliance reviews, investigate complaints, and deliver training initiatives to strengthen compliance awareness and governance
Manage relationships with regulators, including HKMA, SFC, and IA, handling enquiries, information requests, and regulatory communications
Candidate profile:
Bachelor's degree in Business Administration, Finance, Business Law, or a related discipline
6-8 years of banking compliance experience covering investment and insurance products
Exposure to China-based financial institutions and related compliance frameworks is highly preferred
Strong knowledge of banking regulations and regulatory requirements within the financial services sector
Excellent analytical, organisational, and problem-solving skills with a proactive, collaborative approach
Strong written and verbal communication skills in English and Chinese; fluency in Putonghua is an advantage
About the company:
A well-established organisation in the banking and financial services industry, recognised for its customer-focused approach, regulatory excellence, and stable growth. It offers collaborative teams, professional development opportunities, and a supportive workplace culture.