Regulatory Compliance: Monitor, interpret, and keep abreast of applicable laws, regulations, and guidelines related to investment and insurance products. Develop and implement compliance policies, procedures, and controls to ensure adherence to these requirements.
Risk Assessment: Conduct risk assessments to identify compliance risks associated with investment and insurance products. Develop risk mitigation strategies and action plans to address identified risks.
Policy Development and Implementation: Design and implement compliance policies and procedures specific to investment and insurance products. Ensure that these policies are communicated effectively to all relevant stakeholders and are consistently applied across the organization.
Training and Awareness: Develop and deliver compliance training programs to employees involved in the sale, marketing, and servicing of investment and insurance products. Raise awareness among staff regarding compliance requirements, potential risks, and best practices.
Compliance Monitoring and Testing: Conduct regular compliance monitoring and testing activities to assess the effectiveness of controls and identify any compliance gaps or weaknesses. Develop remediation plans and monitor their timely implementation.
Relationship Management: Establish and maintain strong relationships with internal stakeholders, and external stakeholders, including regulators and industry associations.
Qualifications and Skills:
Bachelor's degree in finance, business administration, law, or a related field. A relevant advanced degree is preferred.
Minimum of 5 years of experience in compliance management within the banking or financial services industry, with a focus on investment and insurance products.
Strong understanding of the financial services industry, including investment products and insurance products.
Excellent analytical and problem-solving skills, with the ability to assess and mitigate compliance risks effectively.
Strong communication and interpersonal skills, in both English and Chinese
Detail-oriented with strong organizational skills, capable of managing multiple priorities and deadlines.
Compliance/Legal, Compliance Regulatory, Retail Banking, Insurance & investment, Other
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