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Compliance Manager - Chubb Investment Management at Chubb

Hong Kong Island, Hong Kong, China -

Full Time

Start Date

Immediate

Expiry Date

07 Jul, 26

Salary

0.0

Posted On

08 Apr, 26

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Regulatory Compliance, SFC Licensing, AML Advisory, Transaction Monitoring, Policy Development, Risk Management, Stakeholder Management, Wealth Management Products, Compliance Training, Regulatory Reporting, Analytical Skills, Problem-solving, Communication Skills, Name Screening, Legal Compliance

Industry

Insurance

Description

We are currently seeking a detailed-oriented Compliance Manager to enhance and support the Compliance function. This role offers an excellent opportunity to work in a dynamic and fast-paced environment, ensuring the firm's adherence to regulatory requirements and industry best practices. The successful candidate will be responsible for all compliance matters including regulatory compliance matters and part of AML matters. The ideal candidate will exhibit flexibility and agility while maintaining professionalism, demonstrating a proactive approach to identifying and mitigating potential challenges in alignment with company objectives. * Handle SFC licensing matters, regulatory inquiries, inspections and investigations * Keep track of SFC regulatory changes * Compile, maintain policies and procedures to comply with Companies Ordinance, Securities and Futures Ordinance and relevant subsidiary legislation and codes issued by regulators * Review policies and procedures developed by the first line of defence to ensure compliance with the regulatory requirements * Ensure all research and marketing publications are SFC compliant * Manage customer complaint process and conduct risk of licensed representatives and act as Manager in Charge of Complaint * Advise all client suitability and products related issues * Provide compliance review and advisory * Promote compliance awareness and culture of the Company, including development and delivery of compliance trainings * Perform ad hoc compliance projects as assigned * Provide AML advisory and conduct clearance of name screening and AML transaction monitoring as required

Responsibilities

The Compliance Manager will oversee regulatory compliance, including SFC licensing matters, AML advisory, and transaction monitoring. They are responsible for maintaining policies, managing customer complaints, and ensuring all marketing materials adhere to regulatory standards.