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.
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 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.
AGBA1 is a Hong Kong-based NASDAQ-listed company. We are building a market-leading ‘Health and Wealth Conglomerate’ through acquisitions of Hong Kong’s #1 financial supermarket and second-largest healthcare provider. AGBA will comprise of both our customer-care centric franchises of AGBA Health and AGBA Financial as well as our pioneering B2B operation, OnePlatform2&3. Together, we deliver on our mission of ‘Health and Wealth Made Easy’ with everyone in our community.
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.
2 Insurance and MPF schemes brokerage services are provided by OnePlatform Wealth Management Limited (respectively an Insurance Broker Company with HKIA Licence No. FB1452 and a Principal Intermediary with MPF Registration No. IC000579) 保險及強積金計劃的經紀服務由環一財富管理有限公司提供，環一財富管理有限公司為持牌保險經紀公司(保監局牌照號碼：FB1452)及強積金主事中介人(強積金註冊編號：IC000579)
3 Fund products and/or services are provided by OnePlatform Asset Management Limited (a licensed corporation with SFC CE No. AFQ784) 基金產品及/或服務由環一資產管理有限公司提供，環一資產管理有限公司是持牌法團(證監會中央編號：AFQ784)