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I&I - Compliance Manager - insurance

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A retail bank is looking for an experienced Investment Compliance expert to join their compliance team.

As a crucial member of the team, you will report to the team head and monitor the compliance control of the Bank across all businesses.

  • Develop and maintain a comprehensive compliance framework, including policies, procedures, and controls on Investment and Insurance.
  • Conduct compliance risk assessments and implement appropriate mitigation strategies on investment matters.
  • Collaborate with internal stakeholders, such as internal control, compliance, and operations, to ensure consistency and alignment on investment compliance matters.
  • Liaise with regulators, including HKMA, SFC and IA, etc.
  • Conduct regular compliance training for employees.
  • Prepare and submit timely compliance reports to senior management and regulatory bodies as required.


  • Minimum of 5 years of experience in compliance roles within the banking industry, with a focus on regulatory compliance / investment compliance / compliance assurance.
  • Strong knowledge of regulations, including but not limited to, HKMA and SFC regulations.
  • Good command of both spoken and written English and Chinese, and Mandarin proficiency is an advantage.

Contract Type: FULL_TIME

Specialism: Legal & Compliance

Focus: Financial Services

Industry: Banking

Salary: Negotiable

Workplace Type: On-site

Experience Level: Mid Management

Location: Central and Western District

Job Reference: 9VY1HU-7002DBE5

Date posted: 31 May 2024

Consultant: Jessie Chan

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