Investment and Insurance Compliance, Manager - Retail Bank

This role offers the opportunity to provide regulatory guidance, engage with key regulators, and contribute to a strong compliance culture within a collaborative and supportive environment.

Key responsibilities:

• Provide expert regulatory advice and compliance guidance on investment and insurance products, ensuring adherence to applicable regulations
• Partner with business units to assess compliance matters and support responses to regulatory developments and business changes
• Develop, review, implement, and enforce compliance programmes, policies, and controls in line with bank and regulatory requirements
• Conduct compliance reviews, investigate complaints, and deliver training initiatives to strengthen compliance awareness and governance
• Manage relationships with regulators, including HKMA, SFC, and IA, handling enquiries, information requests, and regulatory communications

Candidate profile:

• Bachelor's degree in Business Administration, Finance, Business Law, or a related discipline
• 6-8 years of banking compliance experience covering investment and insurance products
• Exposure to China-based financial institutions and related compliance frameworks is highly preferred
• Strong knowledge of banking regulations and regulatory requirements within the financial services sector
• Excellent analytical, organisational, and problem-solving skills with a proactive, collaborative approach
• Strong written and verbal communication skills in English and Chinese; fluency in Putonghua is an advantage

About the company:

A well-established organisation in the banking and financial services industry, recognised for its customer-focused approach, regulatory excellence, and stable growth. It offers collaborative teams, professional development opportunities, and a supportive workplace culture.

Keywords: compliance, investment, insurance, regulatory advice, banking, risk management, regulatory compliance, governance, HKMA, SFC,

What's next:

If you are ready to take your compliance career further within an inclusive environment where your expertise truly matters, apply now!