about the company.
Our client is a well-established and reputable banking group with a strong presence in Hong Kong. They offer a comprehensive suite of commercial and retail banking products, as well as wealth management, investment, and insurance services. Known for their stability, collaborative work environment, and commitment to excellence, they continuously invest in building a robust regulatory and compliance infrastructure.
about the team.
You will lead a dynamic and highly dedicated team of compliance professionals covering Investment & Insurance (I&I) Business across all business and service units. The team operates in a fast-paced, collaborative atmosphere with direct exposure to senior management and local regulatory bodies including the HKMA and SFC.
about the job.
- Ensure the banking group complies with all applicable banking and securities laws, regulatory requirements, and internal policies related to the I&I Business.
- Provide strategic compliance advice and operational support across I&I Business units while proactively managing regulatory risks.
- Analyze regulatory trends, developments, and potential impacts to implement necessary compliance changes across the group.
- Provide expert compliance guidance on licensing and notification matters, particularly for key regulatory positions such as Executive Officer (EO) and Responsible Officer (RO) appointments and cessations.
- Oversee customer communication materials and handle official correspondence with regulatory bodies regarding I&I activities.
- Manage regulatory examinations, surveys, and customer complaint investigations referred by dedicated complaint teams.
- Act as the primary compliance point of contact across all business and service units for I&I compliance matters.
- Liaise directly with local regulatory authorities (including HKMA and SFC) on compliance queries and regulatory inspections.
- Lead ad-hoc compliance projects, conduct training, and foster strong compliance awareness across the organisation.
skills & experience required.
- University degree in Law, Accountancy, Finance, or a related discipline.
- Minimum 10 years of relevant compliance experience within banking, wealth management, or financial institutions, with proven management experience.
- In-depth knowledge of HKMA and SFC laws, rules, regulations, operating procedures, and banking/investment products.
- Strong analytical, communication, and interpersonal skills with the confidence to engage with internal senior stakeholders and regulatory authorities.
- Exceptional organisational skills, strong business acumen, and the ability to deliver quality results under tight deadlines.
- Professional fluency in written and spoken English and Chinese.
If you are interested in this role, please click 'Apply Now' or send your CV directly to javis.cheung@randstad.com.hk.
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