Associate Director/ Senior Manager, Compliance, Brokerage

Associate Director/ Senior Manager, Compliance, Brokerage FWD Group (1828.HK) is a pan-Asian life and health insurance business that serves approximately 34 million customers across 10 markets, including BRI Life in Indonesia. FWD’s customer‑led and tech‑enabled approach aims to deliver innovative propositions, easy‑to‑understand products and a simpler insurance experience. Established in 2013, the company operates in some of the fastest‑growing insurance markets in the world with a vision of changing the way people feel about insurance. FWD Group is listed on the main board of the Hong Kong Stock Exchange under the stock code 1828. FWD Financial Planning Limited is part of the FWD Group. It is an expanding SFC, Insurance and MPF licensed brokerage firm that targets top‑class financial advisers to deliver quality financial planning advice to clients. Guided by the customer‑centric principle, the company ensures that its financial advisers deliver the most suitable advice to meet clients’ financial planning needs. Job Summary Reporting to the Responsible Officer and matrix to the Chief Compliance Officer (FWD HK & Macau), this role acts as the second line of defence to ensure the Company meets all regulatory requirements. The Job Regulatory Compliance: Manage compliance framework under IO, MPFSO, SFO, and HKIA/SFC/MPFA guidelines. Develop and update policies, perform gap analysis and implement corrective actions. Regulatory Engagement: Liaise with regulators, handle filings (e.g., SFC BRMQ, HKIA CPD return), inquiries, and inspections. Maintain regulatory records. Financial Crime Compliance: Oversee AML/CTF program, conduct risk assessments including EWRA, monitor name screening and PEP and report to authorities when required. Distribution Compliance: Review licensing, business initiatives, due diligence and complaints. Ensure adherence to regulatory and internal standards. Complaints & Investigations: Advise on complaint handling and lead internal investigations when necessary. Internal Reporting & Assessment: Maintain risk registers, support compliance reviews and prepare reports for senior management and committees. Training & Advisory: Deliver compliance and AML training, review CPT materials, advise on data privacy and support board reporting. Other Duties: Handle ad‑hoc tasks as assigned. The Person Bachelor’s degree in Law, Accounting, Business or related discipline. Minimum 8 years of experience in compliance and/or AML within a licensed brokerage, financial institution or wealth management firm. In‑depth knowledge of HKIA, SFC and MPFA regulations, including SFC Type 1 and 4 activities. Familiarity with SFC AML Guidelines, BRMQ, and self‑assessment checklists. Proven experience in handling regulatory inspections and audits. Strong investigative and analytical skills. Certified Anti‑Money Laundering Specialist (CAMS) or equivalent AML certification preferred. Fluent in written and spoken English and Cantonese. Strong analytical and problem‑solving skills. Good leadership, interpersonal, presentation and communication skills. Able to work independently under pressure and as a team player. Candidate with less experience will be considered as Senior Manager. We offer a 5‑day work week, 20‑22 days annual leave, excellent learning & development opportunities and an attractive package to the right candidate. 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 of which will be destroyed thereafter. 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. We are an equal opportunity employer. We do not discriminate on the basis of race, sex, disability or family status in employment process. #J-18808-Ljbffr