Job opening - Investment Compliance - Senior Associate in Hong Kong | Randstad

summary

hong kong
HK$20,000 - HK$30,000 per month
permanent
full-time

job category
financial services

job details

...

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.

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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.

...

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experience
1 year
skills
no additional skills required
qualifications
Academic Background: Holds a Bachelor’s degree in Law, Business Administration, or a related field.

Professional Tenure: Possesses a minimum of two years of dedicated compliance experience within the
education
Bachelor Degree

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