I&I compliance, senior officer

A regional bank is seeking a senior officer to join its Legal and Compliance Department.

What you'll do:

• Provide advisory support on investment and insurance-related compliance matters by reviewing manuals and ensuring alignment with local regulations as well as head office policies.
• Handle all aspects of licensing and registration processes, including those related to HKMA, Insurance Authority, and SFC, while monitoring CPD fulfilment for relevant staff.
• Deliver day-to-day compliance support to business units throughout the bank by responding promptly to compliance enquiries with clarity and accuracy.
• Assist in preparing detailed compliance reports for submission to the Compliance Committee, ensuring all information is accurate and timely.
• Support the logistics of compliance training sessions by preparing engaging materials that help foster understanding among colleagues.
• Contribute to the development, review, updating, and implementation of compliance plans, manuals, internal policies, and procedures so that they remain current with evolving regulatory requirements.
• Stay informed about new regulatory developments affecting investment and insurance activities; ensure any changes are implemented efficiently within the organisation.
• Participate in ad-hoc projects assigned by management which may involve cross-departmental collaboration or research into emerging compliance topics.

What you bring:

• Bachelor's degree in Business, Finance, Risk Management, Law or related disciplines
• At least 2 years of compliance work experience in banking or the financial services industry, experience in Private Banking, Wealth Management, or Capital Markets is an advantage
• Solid experience in licensing and registration (SFC, HKMA and/ or Insurance Authority) as well as CPT/CPD is required
• Strong analytical and problem‑solving skills
• Detail‑minded, well-organised, and able to manage multiple tasks under tight timelines
• Good communication and interpersonal skills
• Proficient in written and spoken Chinese and English (including Mandarin)