Job title: VP/SVP, Senior Legal and Compliance Manager – Insurance and Asset Management focus
Job type: Permanent
Emp type: Full-time
Industry: Insurance
Expertise: Compliance
Salary type: Annual
Salary: Negotiable
Job published: 01-11-2019
Job ID: 34173
Contact name: Jennifer Yang
Phone number: +852 3708 9510
Contact email:

Job Description

VP/SVP, Senior Legal and Compliance Manager – Insurance and Asset Management focus


Our client is one of leading Independent Financial Advisor in Asia Pacific Region, our client provides clients with commercial and financial expertise in the areas of Insurance products, MPF, Asset Management services, Securities and Corporate Finance. As the business continue to grow strong in Asia, our client is now seeking for experienced professional to head up the compliance team in HK.


Report directly to Head of Legal and Compliance, this role is essential to work alongside with legal team to conduct and supervise sub-ordinates in conducting regular case-checking to ensure compliance with regulatory requirements and compliance policies as well as to recommend enhancements for corrective actions. You will be responsible to assess compliance risks in new business initiatives and provides sounded advice on measures to appropriately address these compliance risks. You will also be responsible to monitor the implementation of anti-money laundering (AML) guidelines and other compliance policies and procedures, identifies gaps and recommends corrective actions.


As a senior member in the team, you will provide and make sure all the policies have comply with SFC regulator requirement. You will interact with regulators and other law enforcement bodies in their investigations by maintaining active dialogues with the regulators and promptly providing information as requested, as well as ensure the consultancy force is informed of their legislative/regulatory/internal obligations by developing and conducting awareness training and communication programs.


To qualify, individuals must possess:


  • Minimum 8+ years of relevant compliance experience, preferably in Insurance field or Regulatory bodies (SFC, Insurance Authorities) or Securities brokerage, fund houses, or asset management
  • Solid exposure and knowledge of regulatory requirements SFC and Insurance Authorities codes and guidelines
  • Excellent working knowledge of SFC rules and their application and an in-depth understanding of the regulatory framework
  • Solid experience in dealings with regulators, distribution compliance related to training and communication, investigation etc.
  • Equipped Knowledge on life insurance, general insurance, MPF and unit trust
  • Good understanding with relevant laws and regulations eg IA, SFC, MPFA, PD(P)O
  • Strong leadership skills with ability to initiate, drive and manage changes
  • Must be committed to maintaining a robust compliance culture and high ethical standards
  • Excellent communication, listening, interpersonal and influencing skills
  • Excellent command of written and spoken English and Chinese, Mandarin an added advantage


To apply, please contact Jennifer Yang for a confidential discussion at (852) 3708 9510 or email quoting job reference number JY 34173. To visit more Legal, Compliance and Risk management jobs please check