investment compliance - senior associate.

Investment & Insurance Advisory: Provide compliance guidance on investment and insurance products while maintaining and reviewing relevant compliance manuals.

Licensing & CPD Management: Oversee all registration and licensing processes for HKMA and the Insurance Authority (IA), including the continuous monitoring of CPT and CPD requirements.

Compliance Monitoring: Conduct regular compliance reviews, draft detailed monitoring reports, and offer actionable recommendations to ensure operational alignment.

Training & Education: Develop comprehensive training content and lead compliance sessions for branch staff to foster a strong regulatory culture.

Policy Development: Support the creation, implementation, and periodic updating of compliance plans and internal policies to meet both local regulatory standards and Head Office mandates.

Regulatory Reporting: Assist in the preparation and submission of essential compliance reports for regulators, senior leadership, and the Head Office.

Regulatory Intelligence: Monitor and analyze emerging regulatory changes to ensure timely and effective implementation within the firm.

Operational Support: Address daily compliance inquiries and execute ad-hoc tasks or projects as directed by management.