Senior Compliance Officer

Harris Fraser Corporate Services Limited; Hong Kong; On-site; HKD 335,000 - 446,000; Full time

Job summary

Harris Fraser Corporate Services Limited in Hong Kong seeks a Compliance professional with strong regulatory knowledge to support IA and SFC activities. You will handle licensing, provide guidance to management, and draft legal agreements for group business lines.

The role requires a university degree in law or related fields and at least 5 years in insurance or broker settings, with fluency in English and Chinese for clear communication.

Qualifications

• University degree in Law, Business Administration, Finance or related disciplines.
• Minimum 5 years of relevant work experience in insurance companies or broker firms.
• Familiar with regulatory requirements for Licensed Corporations.
• Excellent English and Chinese communication with strong drafting skills.

Responsibilities

• Assist all business lines that carrying out both IA and SFC regulated activities to comply with IA and SFC rules and regulations.
• Handle all licensing matters (IA, MPFA and SFC), application, notification, annual return and survey for regulators.
• Carry out compliance trainings to the business units and provide advice to the management.
• Draft, review and negotiate agreements and other legal documents for the business lines of the Group.
• Advise management on business initiatives and specific issues to ensure compliance with legal and regulatory requirements.
• Manage local and regional commercial and regulatory legal matters of the Group.
• Liaise with and handle inquiries from regulatory authorities.
• Support corporate governance and corporate secretarial aspects of the Group.

Skills

English Chinese communication

Drafting skills

Independent judgement

Education

University degree in Law/Business/Finance

Job description

Job Responsibilities:

• Assist all business lines that carrying out both IA and SFC regulated activities to comply with the IA and SFC rules and regulations
• Handle all licensing matters (IA, MPFA and SFC), application, notification, annual return and survey for regulators
• Carry out compliance trainings to the business units and provide advice to the management
• Draft, review and negotiate agreements and other legal documents for the business lines of the Group
• Advise management on business initiatives and specific issues to ensure compliance with legal and regulatory requirements
• Manage local and regional commercial and regulatory legal matters of the Group
• Liaise with and handle enquiries from regulatory authorities
• Support corporate governance and corporate secretarial aspects of the Group

Job Requirements:

• University degree in Law, Business Administration, Finance or other related disciplines
• Minimum 5 years of relevant work experience in insurance companies or broker firms is a must
• Familiar with relevant regulatory requirements for Licensed Corporations
• Broad Insurance Authority compliance knowledge preferable
• Excellent communication skills in both English and Chinese with strong drafting skills, proactively report and update compliance matters to management, and able to demonstrate independent judgement in work.

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## More Job Information

Salary

• 30000 - 40000 / MONTH

Job Function

• 銀行 · 金融服務 - 風險管理

Education

• 學士