Responsible Officer – Insurance Broker

Delta Asia Wealth Management Limited; Hong Kong; On-site; HKD 2,000,000 - 3,200,000; Full time

Benefits offered by this job

Competitive remuneration

15-25 days annual leave

Caring Leave

Job summary

Delta Asia Financial Group seeks a compliance leader to act as Responsible Officer for IA and MPFA, overseeing insurance brokerage and ensuring adherence to the Insurance Ordinance.

You will develop and maintain a formal compliance framework—including policies, procedures and controls—and lead audits, risk assessments, and regulatory inquiries with timely, accurate responses.

Qualifications

• Degree holder in Finance, Business or relevant discipline.
• Eligible for appointment as RO of a licensed insurance broker by IA.
• Licensed or eligible as Technical Representative (Broker) under the Insurance Ordinance.

Responsibilities

• Act as Responsible Officer of IA and MPFA for compliance and operations.
• Oversee all regulated insurance brokerage activities to ensure compliance with the Insurance Ordinance and IA guidelines.
• Develop and maintain a comprehensive compliance framework—policies, procedures and controls across brokerage operations.
• Act as primary contact for regulatory bodies; manage inspections and inquiries.
• Conduct regular compliance audits and risk assessments to strengthen controls and address emerging risks.
• Drive business process re-engineering to uplift customer experience and embed a robust control environment.
• Liaise with Group to provide compliance guidance and support insurance business development within a robust control environment.
• Foster collaboration between front and back-office teams to ensure seamless operations and service delivery.

Skills

Regulatory compliance

Leadership

Risk management

Bilingual English/Chinese

Education

Degree in Finance/Business or related

Job description

At Delta Asia Financial Group, we foster a supportive and empowering environment that enables our employees to shape rewarding career journeys. We are committed to your professional growth and development, and to creating a workplace culture that values collaboration, innovation, and excellence.

Job Responsibilities

Act as Responsible Officer of IA and MPFA to carry out all associated compliance and operational duties

Oversee all regulated insurance brokerage activities to ensure strict compliance with the Insurance Ordinance, IA guidelines, Codes of Conduct, and all other applicable regulatory requirements

Develop, implement, and maintain a comprehensive compliance framework — policies, procedures, and controls across all brokerage operations and workflows

Act as primary point of contact for regulatory bodies, managing inspections, inquiries, and submissions in a timely and professional manner

Conduct regular compliance audits and risk assessments to strengthen controls, enhance regulatory adherence, and proactively address emerging risks

Drive business process re-engineering to streamline workflows, uplift customer experience standards, and embed a robust control environment across front and back-office operations

Liaise with Group to provide compliance guidance and support insurance business development, achieving targets within a robust control environment

Foster a collaborative working environment between front and back-office teams, reinforcing a strong control and service culture to ensure seamless operations and service delivery

Job Requirements

Degree holder or above in Finance, Business or relevant disciplines

Eligible for appointment and approval as a Responsible Officer of a licensed insurance broker company by IA, meeting the fit and proper criteria

Licensed or eligible to be licensed as a Technical Representative (Broker) under the Insurance Ordinance in the relevant line of business

8+ years of relevant experience at a managerial level in the insurance industry with exposure to brokerage operations.

In-depth understanding of operational controls, workflows, and regulatory requirements applicable to a licensed insurance broker

Sound knowledge of the Hong Kong Insurance Ordinance, IA / MPFA regulatory framework and insurance brokerage compliance requirements

Strong leadership, strategic planning, and risk management capabilities

Excellent command of both written and spoken English and Chinese

Application

We offer competitive remuneration and fringe benefits including but not limited to the followings:

15-25 days of Annual Leave

Caring Leave (including birthday leave, graduation leave, wedding leave, volunteer leave, etc.)

Attractive remuneration package

Together, we will make a meaningful impact on our clients, staff, and the community, while shaping a successful, sustainable, and people-centered financial landscape.

All information provided will be treated in strict confidence and only be used for recruitment purpose.

The Delta Asia Financial Group is a full-fledged banking and financial services group encompassing the territories of Hong Kong, Macau and Pearl-River-Delta regions.

Established in Macau in 1935, the Group boasts a rich history spanning 90 years. Initially focused on banking services, the Group has evolved into a financial conglomerate, now offering a wide array of integrated services, including banking, securities investment, insurance consultancy, and wealth management.

With strong financial strength, “people-oriented” spirit and rich investment experience, the Group is dedicated to provide customers with professional and caring financial services.

The Delta Asia Financial Group is a full-fledged banking and financial services group encompassing the territories of Hong Kong, Macau and Pearl-River-Delta regions.

Established in Macau in 1935, the Group boasts a rich history spanning 90 years. Initially focused on banking services, the Group has evolved into a financial conglomerate, now offering a wide array of integrated services, including banking, securities investment, insurance consultancy, and wealth management.

With strong financial strength, “people-oriented” spirit and rich investment experience, the Group is dedicated to provide customers with professional and caring financial services.