Head of Investment and Insurance Compliance
Dah Sing Bank
Hong Kong, HK
3天前

Reporting to the Group Head of Compliance, you will take charge of the Investment and Insurance Compliance Team and assist in monitoring and supervising the investment and insurance related compliance matters within the Bank in accordance with relevant statutory and regulatory requirements.

Main Responsibilities :

  • To advise on rules / regulations on regulated activities / selling process on different types of products including investment, insurance and MPF products
  • To advise on product due diligence and customer profiling process, marketing and training materials
  • To participate in and provide comment on the new investment products, insurance products and MPF products initiatives
  • To review and provide comment on the investment, insurance and MPF products related policies, procedures, guidelines and workflow
  • To advise on and monitor the progress of compliant with relevant new statutory and regulatory requirements by the business divisions
  • To advise on and handle the licensing related matters
  • To handle enquiries from the regulators
  • To participate in enhanced customer complaint handling process and investigate customer complaints in relation to selling practice of structured investment products
  • To promote compliance culture through setting up training program and provide regulatory training to staff of business divisions
  • To supervise and coach team members of Investment and Insurance Compliance Team
  • To meet the challenge, you should have the following qualifications and attributes :

  • Degree holder in Law, Finance or related disciplines
  • At least years' relevant experience in banking industry, 3 years of which in a managerial and leading role
  • Good knowledge of banking, securities and other financial services related laws or regulations and operations, especially on those relating to the selling of investment, insurance and MPF products regulated by the HKMA, SFC, IA and MPFA.
  • Previous exposure in dealing with the regulators will be an added advantage
  • Good command of both written and spoken English and Chinese
  • Good interpersonal and communication skills and a team player
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