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Posted on 2022-12-07
AGBA Management Company Limited

Senior Manager, Compliance / Senior Compliance Counsel (IA & MPFA)

AGBA Management Company Limited

Responsibilities:

  • Conduct/supervise sub-ordinate 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;
  • 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 other department(s) 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 in adhoc projects as assigned.

Requirements:

  • University degree with minimum 10 years’ post qualification experience in corporate and regulatory compliance, focus on insurance compliance.
  • Solid experience in distribution compliance related to training and communication, investigation, dealings with regulators.
  • Knowledge on life insurance, general insurance, MPF and other insurance products a must
  • Sound knowledge with relevant laws and regulations e.g. IA, MPFA, PD(P)O, etc.
  • Excellent communication, listening, interpersonal and influencing skills.
  • Self-motivated and pro-active team player with strong problem-solving skills.
  • Excellent command of written and spoken English and Chinese.
  • Candidate with less experience will be considered as Manager role.

We offer competitive remuneration including career prospects to the right candidate. Interested parties please submit your application via

The employee for above position will be employed under AGBA[1] Management Company Limited.

(All applications will be treated in strict confidence and used for recruitment purpose by AGBA Management Company Ltd and its affiliates only. All applicants are kept on file 6 months from the date of the application.)

1, AGBA Acquisition Limited is a NASDAQ-listed company (NASDAQ: ‘AGBA’) that has agreed to acquire TAG Holdings Limited. AGBA Acquisition Limited is expected to be rebranded as ‘AGBA Group Holding Limited’ upon the SEC’s approval of the acquisition.

More job information
Salary
Benefits
  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Insurance plan
  • Medical plan
Job Function
Location
  • Wanchai
Industry
Employment Term
  • Permanent
  • Full-time
Experience
  • 10 years
Career Level
  • Senior management level
Education
  • Degree