Head of Compliance

The Company is seeking a Head of Compliance to lead regulatory engagement and oversee compliance across broker-referral models and distribution channels. Responsibilities include serving as the primary contact for regulators, managing responses to examinations and reviews, and advising on AML/CTF, enhanced due diligence, and complex source-of-wealth checks. The role also involves advising senior management on regulatory risks and cross-border matters, conducting compliance reviews and gap analyses, and performing due diligence on wealth and insurance offerings. The successful candidate will establish strong governance and work closely with business teams. Candidates should have at least 10 years of experience in insurance regulatory compliance, ideally in a brokerage, bancassurance, or legal setting. A Hong Kong solicitor qualification or equivalent professional certification is required, along with extensive knowledge of relevant financial and insurance regulations, AML/CTF guidance, and cross-border regulatory frameworks. Applicants should have a proven record of managing regulatory relationships and developing governance frameworks. Fluency in English, Cantonese, and Mandarin is required, and a bachelor’s degree is specified.