Senior Manager/Manager, Legal & Compliance (Insurance Compliance)
Convoy Global Holdings Limited
Wan Chai, Hong Kong, HK

As the leading financial advisory firm in Hong Kong, Convoy upholds its core values of Passion, Integrity and Professionalism in providing the best advices and service to help customers investing in their future.

Due to our business expansion, we are looking for high calibre candidates to share our vision and venture our success.

Responsibilities :

  • Conduct / supervise sub-ordinate in conducting regular case-checking to ensure compliance with regulatory requirements and Company Compliance Policies and recommends enhancements / corrective actions.
  • Carry out investigation and review in relation to compliance-related complaints.
  • Disseminate compliance-related information and publication to all relevant staff or departments or consultants.
  • Assess compliance risks in new business initiatives, such as new products including insurance and MPF business, new sales practice, marketing events etc.
  • and provides advice on measures to appropriately address these compliance risks.

  • Monitor the implementation of anti-money laundering guidelines and other compliance policies and procedures, identifies gaps and recommends corrective actions.
  • Support to resolve distributor-related complaints by coordinating with other department(s) and conducting special reviews, as appropriate, in relation to sales practices or distribution portfolio and recommending remedial and disciplinary actions in relation to misconduct cases.
  • Coordinate with regulators and other law enforcement bodies in their investigations by maintaining active dialogues with the regulators and promptly providing information as requested.
  • Ensure the consultancy force is informed of their legislative / regulatory / internal obligations by developing and conducting awareness training / communication programs.
  • Provide advice to business units on compliance-related queries.
  • Manage compliance-initiated projects (i.e. implement new regulatory requirements).
  • Assist in adhoc projects as assigned.
  • Requirements :

  • University degree with minimum 10 years’ post qualification experience in corporate and regulatory compliance, focus on insurance compliance.
  • Solid experience in distribution compliance related to training and communication, investigation, dealings with regulators.
  • Knowledge on life insurance, general insurance, MPF and other insurance products a must
  • Sound knowledge with relevant laws and regulations e.g. IA, MPFA, PD(P)O, etc.
  • Excellent communication, listening, interpersonal and influencing skills.
  • Self-motivated and pro-active team player with strong problem-solving skills.
  • Excellent command of written and spoken English and Chinese.
  • Candidate with less experience will be considered as Manager role.
  • We offer competitive remuneration including career prospects to the right candidate.


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