Investment and Insurance Compliance, Manager - Retail Bank

A leading retail bank in Hong Kong is seeking an experienced Senior Compliance Manager to oversee investment and insurance compliance activities.

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!