Key Responsibilities

• Stay abreast of legislative and regulatory developments, assess their business impact, and recommend timely internal policy updates.

• Formulate, implement, and maintain compliance standards, policies, procedures, and guidelines across the Company.

• Maintain comprehensive records of compliance obligations, regulatory submissions, and related documentation.

• Lead initiatives and consultations on new or emerging regulations, including regulatory engagement and lobbying where appropriate.

• Conduct regular compliance monitoring reviews, internal audit checks, and investigations to identify potential risks, gaps, or non‑conformity issues.

• Develop and maintain an effective compliance risk assessment and control framework, with contingency plans to mitigate regulatory risks.

• Provide practical recommendations to enhance internal processes and ensure strong corporate governance.

• Provide compliance and regulatory advice to senior management, including the CEO, offering commercially viable solutions aligned with legal requirements.

• Review and advise on contracts, agreements, and business initiatives from various departments.

• Support new business initiatives, products, and service offerings by providing input on product design, processes, and marketing materials.

• Offer guidance to business units to ensure day‑to‑day operational compliance.

• Develop, document, and deliver annual compliance training programs tailored to business needs.

• Enhance employee awareness of compliance risks, policies, procedures, and relevant regulatory expectations.

• Supervise and support the Compliance team in daily operations and ongoing projects.

• Build and maintain strong working relationships with internal and external stakeholders across the Company.

• Manage licence applications and advise on licensing issues.

• Maintain accurate, complete, and timely compliance records to support audits, inspections, and internal reviews.

• Prepare regular reports and updates for Senior Management and the Board of Directors.

Qualifications & Requirements

• Bachelor’s degree in Law, Finance, Business, or related discipline.

• 5+ years of relevant experience in regulatory compliance, preferably within financial services or regulated industries.

• Must satisfy the Insurance Authority’s requirements for a Key Person in Compliance function

• Strong understanding of AML/CFT, anti-corruption, sanctions, competition, privacy, and other regulatory frameworks in Hong Kong.

• Proven experience in developing compliance policies, frameworks, and risk assessment methodologies.

• Excellent analytical, communication, and stakeholder‑management skills.

• Ability to balance regulatory requirements with practical business solutions.

• Leadership experience is preferred