Distribution Compliance Lead - Risk & Due Diligence

CTF Life; Hong Kong; On-site; HKD 540,000 - 660,000; Full time

Job summary

Chow Tai Fook Life Insurance Company Limited is seeking a seasoned risk and compliance professional to develop and maintain risk control frameworks for its distribution channels. You will monitor risks, perform due diligence, and support regulatory submissions with insightful, practical guidance.

The role requires extensive experience in risk management or compliance within financial services, strong knowledge of AML/CTF, and fluent Cantonese and English communication with internal stakeholders.

Qualifications

• Bachelor's Degree or above in Business Administration, Accounting, Finance, Law, Risk Management, Compliance, or related disciplines.
• At least 5 years of experience in Risk Management, Compliance Governance or Internal Control, Internal Audit, Regulatory Compliance, Financial Crime Compliance, or Governance functions within financial services.
• Experience in insurance distribution compliance, intermediary governance, broker management, agency governance, or partnership distribution is highly preferred.
• Knowledge of AML/CTF regulations, sanctions compliance, due diligence controls, and compliance monitoring methodologies.
• Ability to provide balanced, practical, and commercially sensible compliance advice.
• Solid communication skills in Cantonese and English.

Responsibilities

• Support the development, implementation, and maintenance of risk control frameworks and procedures for distribution channels, ensuring alignment with established policies.
• Assist in monitoring and assessing risks associated with distribution activities, escalating potential issues and contributing to the development of mitigation strategies.
• Coordinate and conduct end-to-end due diligence for distribution partner onboarding, fit-and-proper assessments, licensing verification, sanctions screening, adverse media checks, and other risk-based evaluations, while monitoring ongoing compliance and adherence to regulatory and contractual obligations.
• Assist in preparing regulatory submissions, questionnaires, inspections, and information requests from regulators.
• Liaise with internal stakeholders including Compliance, Legal, Risk Management, Operations, Finance, Internal Audit, and Business Units on compliance-related matters.
• Maintain accurate, complete, and auditable records of compliance reviews, due diligence assessments, monitoring activities, investigations, and governance documentation.
• Participate in and handle ad hoc projects/tasks assigned from time to time.

Skills

Cantonese

English

Communication

Education

Bachelor's degree or above in Business Administration, Finance, Law, Risk Management or related disciplines

Job description

Chow Tai Fook Life Insurance Company Limited is seeking a seasoned risk and compliance professional to develop and maintain risk control frameworks for its distribution channels. You will monitor risks, perform due diligence, and support regulatory submissions with insightful, practical guidance.

The role requires extensive experience in risk management or compliance within financial services, strong knowledge of AML/CTF, and fluent Cantonese and English communication with internal stakeholders.