Head of Investment and Insurance Compliance

Dah Sing Financial Grou

Company Industries：Financial Services

Job Information

Post Date：2022-06-30
Career Level：Senior
Location：Wan Chai
Yr(s) of Exp：10 years
Qualification：Degree
Employment Type：Permanent
Job Function：Banking / Finance Financial Services Others Professional Services Legal & Compliance

Job Description

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 10 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

Please note that only shortlisted candidates will be notified.

Company Info

The Dah Sing Group is a leading financial services group in Hong Kong offering banking, insurance, financial and other related services through its growing network of over 70 branches in Hong Kong, Macau and Mainland China.

Our currency is caring, teamwork and progressiveness. We accept that everyone is unique and different in talent, but alike in the capacity for growth. Our task is to shape a culture that creates a sense of pride in achieving something beyond just a job, and an environment where you can be your true and authentic self, like at home.

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