Intermediaries Compliance

A financial regulatory authority in Hong Kong seeks a Manager for the Intermediaries Supervision Department to oversee intermediaries' compliance and business conduct. Candidates must have a relevant university degree and at least 5 years of experience in the financial services sector. Proficiency in English, Chinese, and Putonghua is essential. This...

ComplianceConsulting Limited was established in 2003, and is the first financial services consulting company in Hong Kong, offering regulatory and compliance advisory services to financial intermediaries. Our clients include brokerage houses, futures trading companies, corporate finance advisors, funds trading platforms, independent financial advisors, asset...

A multinational insurance company in Hong Kong is seeking a Manager of Distribution & Intermediary Management focused on Quality Assurance and Compliance. The ideal candidate will have at least 5 years' experience in Insurance Intermediary Management and a strong understanding of local regulations. You will be responsible for developing compliance...

Intermediaries Supervision Department is looking for a high calibre candidate to join as a Manager to support its supervisory work. Reporting to a Senior Manager, you will be part of a team to supervise intermediaries with a focus on their business conduct, financial and operational risks. Duties & Responsibilities Supervise intermediaries’ business...

Manager, Distribution & Intermediary Management– Assurance & Compliance (40k-50k) The client is a MNC Insurance client where they are currently looking for a Manager, Distribution & Intermediary Management – Quality Assurance & Compliance (HKD40k-50k) to join their business in HK. Responsibilities Develop and implement Intermediary Management Framework...

Intermediaries Supervision Department is looking for a high calibre candidate to join as a Manager to support its supervisory work. Reporting to a Senior Manager, you will be part of a team to supervise intermediaries with a focus on their business conduct, financial and operational risks. Duties & Responsibilities: Supervise intermediaries’ business...

Ref.: SFC/M/IS/INT/ Intermediaries Supervision Department is looking for a high calibre candidate to join as a Manager to support its supervisory work. Reporting to a Senior Manager, you will be part of a team to supervise intermediaries with a focus on their business conduct, financial and operational risks. Duties & Responsibilities: Supervise...

A regulatory authority in finance is seeking a Manager for Intermediaries to oversee compliance and market practices through off-site supervision. The ideal candidate will have over 7 years of relevant experience and a degree in fields like Accounting or Finance. Responsibilities include monitoring licensed firms and recommending actions for deficiencies....

Manager, Intermediary Management (Insurance) 2 days ago Be among the first 25 applicants Develop and implement Intermediary Management Framework to comply with the regulatory and Group requirement Familiar with the requirements of local governments for the intermediary management to avoid violating local regulations Extend, build and strengthen working...

A leading insurance and asset management firm in Hong Kong is seeking a Manager for Intermediary Management. This role involves developing and implementing frameworks to ensure compliance with regulations, managing relationships with stakeholders and vendors, and overseeing governance responsibilities. The ideal candidate should have at least 6 years of...