Governance and Control, Consultant (Manager level)
Hong Kong, HK


If you believe in better, we’d love to hear from you.


Ensure Operations is in full compliance with regulatory, group office and internal compliance standard through design, management and monitoring the regulatory framework and procedures to make sure the operation comply with the required risk and regulatory controls and thus protecting the customers’ best interest and the integrity of the organization's business quality and reputation

Roles and Responsibilities :

Regulatory, Audit & Control (75%) :

  • Drive & design regulatory framework & procedure to ensure Operations able to manage the risk and regulatory controls by Insurance Authority Guidelines
  • Develop and maintain guideline and control in operations to fulfill regulatory requirement and company standards
  • Ensures compliance with established internal control procedures by examining records, reports, operating practices, and documentation
  • Lead and perform audit control in business processes and transactions to fulfill the risk control process for HK, Macau and OSS Operations
  • Perform regular review to monitor & ensure functions comply with all relevant internal instructions and external regulatory requirements
  • Work closely with Compliance and business units to ensure the operations rules and procedures are in full compliant
  • Facilitate the internal and external audit regarding operations and ensure closed-loop follow-up on audit findings
  • Propose re-engineering advices and design an appropriate governance and internal control systems for managing risk of preventing the recurrence and mitigate the operational risk
  • Keep abreast of any changes to company policy and standards, legislation and regulations which pertain to insurance and ensure company goals are met in conjunction with compliance of legal requirements and company standards
  • Operations System Enhancement / Projects (15%) :

  • Support the user requirement formulation of system development / enhancement of operations applications on gap analysis / audit actions
  • Support the company’s business initiatives / strategic projects and help to provide input and business insights to support the project launch to align with company directions
  • Others (10%) :

  • Perform and handle other responsibilities / jobs / projects / market research / initiatives assigned by manager to meet operational and the company’s business strategic growth
  • Carry out ad-hoc analysis and preparation of management presentation materials
  • Minimum Job Requirements :

  • University graduate in any discipline with 7 years working experience, or
  • HKALE holder or equivalent with 8 years working experience, or
  • HKCEE / DSE holder or equivalent with at least 10 year’s working experience
  • Qualification with HK Insurance Intermediary Examination Paper 1,2, 3 4 and 5 or equivalent is an added advantage
  • Knowledge and experience in internal audit or compliance fields
  • Experience in insurance services and operations in underwriting / claims / policy owner service is preferable
  • Proficiency in MS Office
  • Attention to details, problem solving and negotiation skills
  • Good command of both written and spoken English
  • Ensure team members who perform regulated activities have obtained the relevant licenses and fulfilled the licensing requirements
  • You are required to obtain relevant license(s) if your job involves in regulated activities
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