Senior Manager, Corporate Compliance Investigation

FWD Group Management Holdings Limited; Hong Kong; On-site; HKD 1,000,000 - 1,500,000; Full time

Benefits offered by this job

5-day work week

20–22 days annual leave

Learning & development opportunities

Job summary

FWD Group Management Holdings Limited in Hong Kong is seeking a seasoned Compliance Investigator/Manager to supervise the investigation team on potential misconduct and fraud, ensuring adherence to internal and external standards. You will review reports, prepare meeting materials, and maintain proper documentation.

Engagement with regulators and LEAs is expected, along with leading policy changes and staff training.

Qualifications

• Bachelor degree in law, accounting or business with at least 10 years' complaint/investigation exp in HK financial institutions.
• At least 5 years in a team management role.
• Familiar with HK regulators and laws.
• Fluent in English, Mandarin and Cantonese.

Responsibilities

• Supervise investigation team on potential misconduct/fraud investigations.
• Review and vet investigation reports to ensure compliance with internal/external standards.
• Oversee timely, consistent and accurate reporting of investigation cases.
• Prepare meeting materials and maintain proper record/filing of meetings.
• Conduct gap analysis on new internal/regulatory requirements.
• Lead localization of Group Policies/Standards with stakeholders.
• Handle correspondence with regulators/LEAs; liaise with LEAs.
• Assist in Dawn Raid plan execution and staff training.
• Provide cover and support to other teammates; take on ad hoc tasks.

Skills

Analytical thinking

Leadership

Communication

Regulatory knowledge

Team management

Stakeholder management

Multilingual (English Mandarin Canton)

Education

Bachelor Degree in law, accounting or business

Job description

About FWD GroupFWD Group (1828.HK) is a pan-Asian life and health insurance business that serves approximately 40 million customers across 10 markets, including BRI Life in Indonesia. FWD’s customer-led and tech-enabled approach aims to deliver innovative propositions, easy-to-understand products and a simpler insurance experience. Established in 2013, the company operates in some of the fastest-growing insurance markets in the world with a vision of changing the way people feel about insurance. FWD Group is listed on the main board of the Hong Kong Stock Exchange under the stock code 1828. For more information, please visit www.fwd.comFor more information about FWD Hong Kong, please visit www.fwd.com.hk/The JobSupervise investigation team on potential misconduct/ fraud investigation. Responsible for investigation of escalated/ complex cases.Review and vet investigation reports prepared by the investigation team to ensure compliance with the internal and external requirements/standards.Supervise reporting of investigation cases ensuring timeliness, consistency and accuracy.Prepare the meeting materials and maintain proper record/ filing of Distribution Disciplinary Committee meeting.Conduct gap analysis/ assessments on new internal/ regulatory requirements/ changes.Lead in localizing the Group Policies/Standards, collaborating with various stakeholders to ensure smooth launchHandle/ review the correspondence on enquiries/ requests received from regulators/ Law Enforcement Agencies (LEA).Supervise teammates in liaison with LEAs. Provide assistance/ advice to staff when handling requests from LEAs.Assist in the execution of the Dawn Raid plan and provide training to staff as appropriate.Provide cover and support to other teammates.Any ad hoc assignments or tasks that may be delegated by Chief Compliance Officer from time to time.The PersonBachelor Degree in law, accounting or business with at least 10 years of complaint/ investigation related working experience in financial institutions in Hong Kong with at least 5 years in team management role.Relevant experience in dealing with regulators/ Law Enforcement Agencies such as Hong Kong Insurance Authority, The Securities and Futures Commission, Hong Kong Police Force and ICAC.Familiar with insurance related legislations and regulatory requirements in Hong Kong.Fluent in written and spoken English, Mandarin & CantoneseStrong analytical and problem-solving skills.Good leadership, interpersonal, presentation and communication skills.Able to work independently under pressure and as a team player.We offer 5-day work, 20-22 days annual leaves, excellent learning & development opportunities and an attractive package to the right candidate.Information collected will be treated in strict confidence and used solely for recruitment purpose. The company will retain all applications no longer than 24 months of which will be destroyed thereafter. When there are vacancies in any of our subsidiaries, holding companies, associated or affiliated companies of, or companies controlled by, or under common control with the Company during that period, we may transfer your application to them for consideration of employment. We are an equal opportunity employer. We do not discriminate on the basis of race, gender, disability or family status in employment process.