CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
SENIOR LEGAL AND COMPLIANCE MANAGER (INSURANCE AND ASSET MANAGEMENT): 8+ YEARS
Star Anise Limited
June 13, 2018
Report directly to Group General Counsel and head of compliance, this role is essential to work alongside with legal team to conduct and supervise sub-ordinates in conducting regular case-checking to ensure compliance with regulatory requirements and Compliance Policies as well as to recommend enhancements for corrective actions. You will be responsible to assess compliance risks in new business initiatives and provides sounded advice on measures to appropriately address these compliance risks. You will also be responsible to monitor the implementation of anti-money laundering (AML) guidelines and other compliance policies and procedures, identifies gaps and recommends corrective actions.
As a senior member in the team, you will provide and make sure all the policies have comply with SFC regulator requirement. You will interact with regulators and other law enforcement bodies in their investigations by maintaining active dialogues with the regulators and promptly providing information as requested, as well as ensure the consultancy force is informed of their legislative/regulatory/internal obligations by developing and conducting awareness training and communication programs.
To qualify, individuals must possess:
Minimum 8+ years of relevant compliance experience, preferably in Insurance field or Regulatory bodies (SFC, Insurance Authorities) or Securities brokerage, fund houses, asset management or financial institutions
Solid exposure and knowledge of regulatory requirements SFC codes and guidelines
Excellent working knowledge of SFC rules and their application and an in-depth understanding of the regulatory framework
Solid experience in dealings with regulators, distribution compliance related to training and communication, investigation etc.
Equipped Knowledge on life insurance, general insurance, MPF and unit trust
Good understanding with relevant laws and regulations eg IA, SFC, MPFA, PD(P)O
Strong leadership skills with ability to initiate, drive and manage changes
Must be committed to maintaining a robust compliance culture and high ethical standards
Excellent communication, listening, interpersonal and influencing skills
Excellent command of written and spoken English and Chinese, Mandarin an added advantage
To apply, please contact Jennifer Yang for a confidential discussion at +852 3708 9510 quoting job reference number JY.33271. To visit more Legal, Compliance and Risk management jobs please check www.staranise.com.hk
Data collected will be for recruitment purposes only. Only shortlisted candidates will be contacted. If you have not been contacted within 5 business days of your application, please assume your application has not been shortlisted.