Assistant Vice President / Manager, Investment & Insurance Compliance
Shanghai Commercial Bank
- North Point, Hong Kong
- Permanent
- Full-time
- Provide advisory services on Investment and Insurance businesses for compliance with relevant regulatory requirements.
- Provide investment & insurance compliance development updates to Senior Management and assess the impact on the business and operation units.
- Participate in new product & service development project and advise on compliance matters.
- Review staff sales script as well as marketing materials.
- Develop and review compliance policies and guidelines in relation to Investment and Insurance products.
- Deliver investment compliance training to relevant Bank's staff.
- Liaise with external regulators and auditors on investment and insurance compliance matters.
- Handle ad hoc projects assigned from management.
- Degree holder in Business Administration, Risk Management, Finance, Law or related disciplines.
- Minimum 8 years of banking industry with compliance or related experience.
- Proficient with banking operations and solid knowledge of Investment & Insurance products.
- Strong knowledge of regulatory requirements such as SFO, SFC's Code of Conduct, HKMA and Insurance Authority circulars etc.
- Responsible, detailed-mind, well-organized with good communication skills.
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