Senior Responsible Officer, Insurance Brokerage Compliance

CC Information Limited; Hong Kong; Hybrid; HKD 900,000 - 1,300,000; Full time

Job summary

Universal Alliance Group Limited seeks an experienced Responsible Officer for its licensed insurance brokerage. You will maintain the broker license with the IA, oversee daily operations and ensure compliance with regulatory requirements as the business grows.

The ideal candidate has 6+ years in insurance, IA licensing knowledge, and fluency in English and Cantonese. A Bachelor’s degree and independent, hands-on approach in a lean team are essential.

Qualifications

• Strong knowledge of the Insurance Ordinance and IA licensing requirements.
• Experience as Responsible Officer or equivalent in insurance brokerage.
• Understanding of capital, net assets, PI insurance, client accounts, books and records.

Responsibilities

• Act as the approved Responsible Officer for the licensed insurance broker company under the Insurance Ordinance.
• Maintain the company’s Insurance Broker license with the IA, incl. renewals and notifications.
• Ensure compliance with IA requirements and codes, AML/CTF and sale of long-term products.
• Oversee day-to-day brokerage operations, policy placement, documentation and records.

Skills

Regulatory compliance

HK insurance regulatory knowledge

Licensing process expertise

English & Cantonese fluency

Education

Bachelor's degree

Job description

Universal Alliance Group Limited seeks an experienced Responsible Officer for its licensed insurance brokerage. You will maintain the broker license with the IA, oversee daily operations and ensure compliance with regulatory requirements as the business grows.

The ideal candidate has 6+ years in insurance, IA licensing knowledge, and fluency in English and Cantonese. A Bachelor’s degree and independent, hands-on approach in a lean team are essential.