Welcome to the Convoy family! Having a sizable IFA team in Hong Kong with business expansion in Asia Pacific Region, we are committed to becoming one of Asia’s leading financial services providers over the long-term. To achieve this goal, we take pride in having you as part of our family. At Convoy,...

Welcome to the Convoy family! Having a sizable IFA team in Hong Kong with business expansion in Asia Pacific Region, we are committed to becoming one of Asia’s leading financial services providers over the long-term.

To achieve this goal, we take pride in having you as part of our family. At Convoy, we nurture your strengths and value your unique perspectives, and in return we expect you to share our passion.

Join us! We believe you’ll find working at Convoy a valuable experience in your career.

Company Website: www.convoy.com.hk

Compliance Manager

Job level Middle
Work exp 5 Years To 8 Years
Education Bachelor Degree
Skill Excellent communication skills; sound knowledge and experience in compliance; ethical and self motivated; insurance knowledge added value
Language English
Location North Point
Employment type Full Time
Benefits 5-day week, Competitive pay, Dental plan, Discretionary bonus, Insurance plan, Meal allowance, Medical plan, Special / extra leave
Industry Financial Services
Job function Insurance > Others
Legal / Professional Services > Lawyer / Legal Services
Legal / Professional Services > Legal & Compliance
Published On 13/10/2017

As a rapidly growing financial institution and the leading Independent Financial Advisory conglomerate in Hong Kong, Convoy Group strives to provide the best in class, multifaceted financial services for our customers. 

Due to the business expansion, we are looking for high caliber candidate to share our vision and venture our success. 

 

Responsibilities:

  • Conduct/supervise subordinate in conducting regular case-checking to ensure compliance with regulatory requirements and Company Compliance Policies and recommends enhancements/corrective actions
  • Carry out investigation and review in relation to compliance-related complaints
  • Disseminate compliance-related information and publication to all relevant staff or departments or consultants
  • Ensure sufficient provision of training/education on compliance issues to staff/consultants
  • Assess compliance risks in new business initiatives, such as new products including insurance and MPF business, new sales practice, marketing events etc., and provides advice on measures to appropriately address these compliance risks
  • Monitor the implementation of anti-money laundering guidelines and other compliance policies and procedures, identifies gaps and recommends corrective actions
  • Support to resolve distributor-related complaints by coordinating with Customer Marketing Department and conducting special reviews, as appropriate, in relation to sales practices or distribution portfolio and recommending remedial and disciplinary actions in relation to misconduct cases
  • Coordinate with regulators and other law enforcement bodies in their investigations by maintaining active dialogues with the regulators and promptly providing information as requested
  • Ensure the consultancy force is informed of their legislative/regulatory/internal obligations by developing and conducting awareness training/ communication programs
  • Provide advice to business units on compliance-related queries
  • Manage compliance-initiated projects (i.e. implement new regulatory requirements)
  • Assist any ad-hoc other projects

 

Requirements:

  • University degree in Business Management or related disciplines
  • Minimum 5-8 years’ post qualification experience in corporate or regulatory compliance with financial institutions or regulator
  • Solid experience in distribution compliance related to training and communication, investigation, and dealings with regulators
  • Knowledge on life insurance, general insurance, MPF and other insurance products
  • Sound knowledge with relevant laws, regulations and guidelines e.g. OCI/IA, SFC, MPFA, PD(P)O, etc
  • Excellent communication, listening, interpersonal and influencing skills
  • Good personality with position and can-do attitude
  • Experience in working and liaison with regulatory bodies an advantages
  • Self-motivated and pro-active team player with strong problem solving skills
  • Excellent command of written and spoken English and Chinese

 

We offer competitive remuneration including career prospects to the right candidate. Interested parties please send your detailed resume with availability, current and expected salaries to Human Resources Department, Convoy Global Holdings Limited, 39/F @CONVOY, 169 Electric Road, North Point, Hong Kong or email at recruit@convoy.com.hk

(All applications will be treated in strict confidence and used for recruitment purpose within Convoy Global Holdings Limited only)