compliance advisory.

about the team.You will lead a dedicated team of compliance specialists who are deeply integrated with the business's growth aspirations. The team culture is characterized by professional excellence, mutual support, and open communication. You will report to the Head of Compliance and work closely with senior stakeholders in product development, sales, and legal to ensure a balanced approach to risk and reward.


about the job.As the Lead of the I&I Compliance team, you will ensure that the firm’s investment and insurance operations remain robust against an evolving regulatory landscape. Your core mission is to manage the firm’s relationship with major regulators while facilitating the launch of innovative financial products.

- Regulatory Relationship Management: Act as the primary liaison for the HKMA, SFC, MPFA, and IA, coordinating all inquiries, audits, and investigations.
- Strategic Advisory: Partner with business units to provide compliance guidance on new product proposals (Investment/Insurance/MPF) and internal policies.
- Marketing & Disclosure Oversight: Review all product documents and marketing materials to ensure they meet stringent regulatory transparency requirements.
- Incident Investigation: Lead ad-hoc investigations into non-compliance matters and design effective remediation plans to prevent recurrence.
- Compliance Framework: Conduct regular compliance reviews, self-assessments, and questionnaires as required by the regulators.


skills & experiences required.- University graduate with a degree in Law, Finance, Banking, or a related discipline.
- Minimum of 4 years of relevant compliance experience gained within a regulatory body (e.g., SFC, IA, MPFA) or a reputable banking/securities firm.
- Demonstrated leadership ability with a track record of influencing stakeholders and managing a team.
- In-depth technical knowledge of the SFO, SFC Code of Conduct, IA Guidelines, and MPFSO.
- Self-motivated and capable of operating under pressure in a fast-paced environment.
- Excellent command of written and spoken English and Chinese (including Mandarin).