Manager/ Assistant Manager, Compliance, Brokerage
5 days ago
FWD Group is a pan‑Asian life and health insurance business serving approximately 34 million customers across 10 markets, including BRI Life in Indonesia. It is listed on the Hong Kong Stock Exchange under the stock code 1828. Responsibilities Support the implementation and maintenance of the Company’s compliance framework in accordance with the Insurance Ordinance (IO), the Mandatory Provident Fund Schemes Ordinance (MPFSO), the Securities and Futures Ordinance (SFO), and the guidelines and codes issued by HKIA, SFC, and MPFA. Assist in updating and implementing compliance policies and procedures to reflect the latest regulatory and internal requirements. Help prepare regulatory reports and submissions to SFC, HKIA, MPFA, and other authorities. Support the AML/CFT program, including review of name screening, PEP monitoring, and maintaining the AML risk register. Assist in FCC risk assessments, including but not limited to EWRA. Assist in licensing applications and ongoing obligations for Responsible Officers and licensed representatives. Advise on new business initiatives, distribution models, and documentation. Review due diligence checklists from business partners. Review procedure manuals (such as licensing procedure, complaint handling procedure, operation procedure, etc.) of the first line to ensure adherence to regulatory and internal requirements. Conduct regular compliance reviews and assessments on business activities against regulatory and internal requirements, and assist in investigations. Coordinate compliance training sessions for staff and management. Assist in preparing board and committee reporting materials on compliance matters. Handle ad hoc compliance tasks as assigned. Qualifications University graduate in Law, Accounting, Business, or a related discipline. Minimum 4–6 years of experience in compliance or AML roles within financial services or brokerage firms. Familiarity with SFC Type 1 and 4 activities and relevant regulatory guidelines. Knowledge of AML regulations and operational risk controls. Strong analytical, organizational, and communication skills. Ability to work independently and collaboratively in a fast‑paced environment. Proficiency in written and spoken English and Cantonese. AML certification (e.g., CAMS) is an advantage. Candidates with less experience may be considered for the Assistant Manager role. Benefits 5‑day work week. 20–22 days annual leave. Excellent learning and development opportunities. Attractive compensation package. We are an equal opportunity employer. We do not discriminate on the basis of race, sex, disability or family status in employment process. Information collected will be treated in strict confidence and used solely for recruitment purpose. The company will retain all applications no longer than 24 months, after which they will be destroyed. When there are vacancies in any of our subsidiaries, holding companies, associated or affiliated companies of, or companies controlled by, or under common control with the Company during that period, we may transfer your application to them for consideration of employment. #J-18808-Ljbffr
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Kowloon, Hong Kong SAR China ZUU Insurance Brokerage Ltd Full timeA financial services company based in Hong Kong is seeking a Compliance Officer to oversee licensing administration and regulatory compliance for their insurance brokerage. The ideal candidate will have 3-5 years of experience in compliance and strong knowledge of HKIA regulations. Responsibilities include managing licensing workflows, coordinating with...
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