Your new company

Our client is a leading regional banking group with a strong presence across Hong Kong, Greater China and Asia-Pacific markets. As a licensed bank, the institution provides a comprehensive range of retail banking, wealth management, investment and insurance services, serving a broad client base across the region.

Your new role

As the Investment & Insurance Compliance Team Lead, you will lead a team responsible for providing regulatory compliance oversight and advisory support to the investment and insurance businesses. You will work closely with business stakeholders to ensure compliance frameworks remain robust, while supporting business growth initiatives in a highly regulated environment.\

• Lead and manage the Investment & Insurance Compliance team.
• Provide compliance advisory support to wealth management, investment and insurance businesses.
• Interpret and implement regulatory requirements from HKMA, SFC, IA and other relevant regulators.
• Review and advise on new products, business initiatives and distribution channels.
• Oversee compliance monitoring, thematic reviews and surveillance activities.
• Assess regulatory risks and provide practical recommendations to business stakeholders.
• Develop and maintain compliance policies, procedures and control frameworks.
• Manage regulatory inquiries, inspections and audits relating to investment and insurance businesses.
• Deliver compliance training and promote a strong compliance culture across the organisation.
• Collaborate with risk, legal, operational risk and internal audit teams on control enhancement initiatives.

What you'll need to succeed

• Degree holder in Law, Finance, Business Administration, Accounting or a related discipline.
• Extensive compliance experience gained within retail banking, wealth management or private banking environments.
• Strong knowledge of investment products, insurance distribution regulations and applicable Hong Kong regulatory requirements.
• Proven people management and team leadership experience.
• Familiarity with HKMA, SFC and Insurance Authority regulatory expectations.
• Strong stakeholder management and influencing skills.
• Excellent analytical, communication and problem-solving abilities.
• Fluency in English, Cantonese and Mandarin preferred.

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.