Your new company

Our client is a leading Chinese bank with a strong presence across Hong Kong and the Greater China region. The bank offers comprehensive retail banking, wealth management, investment, insurance, commercial banking, and corporate banking solutions. As part of continued business growth and increasing regulatory focus, an opportunity has arisen for an experienced compliance professional to lead the Investment & Insurance Compliance team.

Your new role

• Lead the Investment & Insurance Compliance team and provide effective compliance oversight across wealth management and insurance businesses.
• Advise senior management and business stakeholders on applicable HKMA, SFC, IA, and other regulatory requirements.
• Review and provide compliance guidance on investment products, insurance products, marketing materials, and new business initiatives.
• Monitor regulatory developments and ensure timely implementation of regulatory changes.
• Drive compliance risk assessments, thematic reviews, monitoring programmes, and compliance testing activities.
• Act as a key compliance partner to frontline, product, legal, risk, operations, and control functions.
• Support regulatory inspections, audits, and regulatory enquiries.
• Develop and enhance compliance policies, procedures, governance frameworks, and staff training programmes.
• Lead, mentor, and develop team members while promoting a strong compliance culture across the organisation.

What you'll need to succeed

• Degree holder in Law, Finance, Accounting, Business Administration, or related disciplines.
• Minimum 10 years of compliance experience within banking, wealth management, private banking, or financial institutions.
• Solid knowledge of investment and insurance regulatory requirements in Hong Kong.
• Strong understanding of HKMA, SFC, and Insurance Authority regulations.
• Experience advising on investment products, structured products, mutual funds, discretionary portfolios, and bancassurance business.
• Proven people management experience with the ability to lead and develop teams.
• Strong stakeholder management and communication skills.
• Professional qualifications such as AHKIB, CAMS, CPA, CFA, or equivalent would be advantageous.
• Fluent English and Chinese communication skills, including Cantonese and Mandarin.

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or share your profile to rowina.lo@hays.com.hk
If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.