Compliance, Senior Manager/ Manager
4 weeks ago
Responsibilities
- Responsible for regulatory compliance matters pertaining to insurance product offerings, sales, and distribution.
- Develop and oversee robust compliance programs that effectively address market conduct, regulatory requirements, and internal policies.
- Ensure strict adherence to statutory, regulatory, and internal requirements, with a particular focus on product compliance, sales compliance, sales conduct risk.
- Provide advisory services and guidance to all business units regarding financial crime risks.
- Conduct transaction monitoring, fraud investigation, and suspicious transaction reporting as necessary.
- Oversee policy governance and compliance review processes to ensure adherence to regulatory standards.
- Collaborate with regulators on compliance matters and maintain a comprehensive understanding of the Hong Kong AML/CFT regulatory framework.
- Provide support to various business initiatives by providing valuable compliance insights and guidance.
- Foster a culture of compliance awareness throughout the organization by organizing and facilitating compliance training sessions and conducting regular compliance reviews.
- Develop and implement monitoring mechanisms to assess and maintain compliance with statutory, regulatory, and internal requirements across all aspects of the company's operations.
- Stay up-to-date with the latest developments in insurance industry regulations, including changes in laws, regulations, and industry best practices.
- Prepare and submit accurate and timely compliance reports to regulatory bodies as required.
- Provide comprehensive training and guidance to employees on various compliance-related matters.
- Establish and nurture strong relationships with regulatory authorities and effectively handle regulatory inquiries.
Requirements
- Possess a Bachelor's degree in Law, Risk Management, Business Administration, or a related field.
- Possess a minimum of 5 years of relevant experience in the field of life insurance compliance.
- Familiar with the insurance regulatory framework of Insurance Authority and Securities and Futures Ordinance
- Candidates with an audit background and solid experience in market conduct, product, and marketing materials review will be given preference.
- Proficient in both spoken and written English, as well as Chinese (Cantonese and Mandarin) languages.
- In-depth knowledge of insurance regulations and industry best practices.
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