Job ref no.: CT3119042-01#0294
Convoy Global Holdings Limited

Senior Manager, Legal & Compliance

Convoy Global Holdings Limited

  • 5-day week
  • Birthday leave
  • Compassionate leave
  • Discretionary bonus
  • Examination leave
  • Family-friendly Leave
  • Insurance plan
  • Marriage leave
  • Medical plan
  • Special / extra leave
  • K + 4 more

As the leading financial advisory firm in Hong Kong, Convoy upholds its core values of Passion, Integrity and Professionalism in providing the best advices and service to help customers investing in their future.

We are looking for high calibre candidates to share our vision and venture our success.



  • Conduct/supervise subordinates 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 insurance compliance-related complaints.
  • Disseminate insurance compliance-related information and publication to all relevant staff / departments / consultants and provide advices as needed.
  • Ensure sufficient provision of training/education on insurance compliance topics to all 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 compliance risks.
  • Monitor the implementation of anti-money laundering guidelines and other compliance policies and procedures, identifies gaps and recommends corrective actions in relation to the insurance business.
  • 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.
  • Provide advice to business units on compliance-related queries.
  • Manage compliance-initiated projects (i.e. implement new regulatory requirements).
  • Assist in ad hoc projects when required.



  • University degree with minimum 8 years’ post qualification experience in corporate or regulatory compliance. Experience in insurance industry an added advantage
  • 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
  • Sound knowledge with relevant laws and regulations eg IA, SFC, MPFA, PD(P)O, etc and experience dealing with regulatory bodies
  • Excellent communication, listening, interpersonal and influencing skills.
  • Self-motivated and pro-active team player with strong problem solving skills.
  • High ethics with strong sense of responsibility
  • 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 by clicking Apply Now.

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

More job information
Job ref no. CT3119042-01#0294
  • N/A
Job Function
  • North Point
Employment Term
  • Permanent
  • Full-time
  • 8 years - 13 years
Career Level
  • Senior management level
  • Degree