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Insurance Compliance Manager

  • Job type: Permanent
  • Location: Hong Kong
  • Salary: Competitive
  • Job reference: 240962/001_1538011431
  • Sector: Selby Jennings, Wealth Management
  • Date posted: 27/09/2018

Responsibilities:

  • Develops, initiates, maintains, and revises policies and procedures for the general operation of the compliance monitoring program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the Program.
  • Develops and periodically reviews and updates Standards of Conduct to ensure continuing currency and relevance in providing guidance to management and employees.
  • Collaborates with other departments to direct compliance issues to appropriate existing channels for investigation and resolution.
  • Responds to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for uniform handling of such violations.
  • Acts as an independent review and evaluation body to ensure that compliance issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
  • Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.
  • Works with the HR Department and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.

Skills / Qualifications:

  • Bachelor's Degree in Law, Accounting, Finance or related disciplines
  • Solid experience in operational and regulations in Insurance organization including at least 1 year of work experience with regulator is a must.
  • In-depth knowledge of insurance and various financial product operations, including but not limited to private equity, distressed debt, real estate and credit fund
  • Sound knowledge on regulatory requirements and licensing requirements
  • Strong business acumen and communication and presentation skills
  • Excellent verbal and written communication skills - Mandarin is a must

Plan of Action:

If you are interested in the role please email Nicola Carder directly via

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