Head of Compliance

about the job.

• Act as the primary contact for regulatory bodies, particularly the HKMA and IA, leading responses to on-site examinations and thematic reviews.

• Oversee the compliance of broker-referral models and distribution channels, ensuring strict adherence to GL25, GL26, and Professional Investor regulations.

• Provide expert guidance on AML/CTF, enhanced due diligence (EDD), and complex source-of-wealth checks for HNW clients and offshore trusts.

• Advise senior management on regulatory risks, premium financing projects, and cross-border client matters spanning Mainland China and Southeast Asia.

• Conduct continuous compliance reviews, gap analyses, and product due diligence for various wealth and insurance offerings.

skills & experience required.

• Minimum 10 years of experience in insurance regulatory compliance, preferably within a brokerage, bancassurance, or legal environment.

• Qualified Solicitor in Hong Kong or possessing equivalent professional certifications (e.g., CAMLS, ACOP, LLM in Compliance & Regulations).

• Extensive knowledge of HKMA and IA regulations, AML/CTF guidelines, and cross-border regulatory frameworks.

• Proven track record in managing regulatory liaisons, establishing governance frameworks, and partnering with front-line business units.

• Fluent English, Cantonese, and Mandarin are strictly required to effectively support Mainland and regional cross-border operations.
  
  If you are interested in this role, please click 'Apply Now' or send your CV directly to [email protected].