Manager, Insurance and Investment Compliance, Regional - Commercial Banking

Full Time
Junior (less than 3 years)

Job Description

Manager, Insurance and Investment Compliance, Regional - Commercial Banking

Location: Asia Pacific-Hong Kong-Hong Kong Island-Central

Some careers shine brighter than others
If you’re looking for a career that will help you stand out, join HSBC and fulfil your potential.
HSBC Commercial Banking serves millions of businesses ranging from small, to large corporates, providing commercial customers with a full range of banking services including Global Trade and Receivables Finance, RMB solutions, multi-currency business accounts, payments and cash management, and wealth management and insurance, as well as a comprehensive range of financing solutions.  With dedicated Relationship Managers and Product Specialists providing local support and advice in over 60 countries and territories, HSBC helps connect customers to opportunities.
We are currently seeking a high caliber professional to join our team as Manager, Insurance and Investment Compliance, Regional.
Principal responsibilities
  • Proactively reviewing and interpreting draft and current regulations to ensure Commercial Banking maintains a compliant Insurance and Investment business
  • Identifying when change is needed to Commercial Banking’s prevailing policy and procedures and coordinating functions to implement amendments or to introduce new procedures as required and work with Commercial Banking functions to implement.
  • Review and comment on draft regulations as invited, maintain a thorough understanding of current regulations and clearly communicate requirements to Commercial Banking stakeholders.
  • Represent Commercial Banking in discussions with external parties such as the Hong Kong Monetary Authority, Securities Futures Commission and Hong Kong Association of Banks
  • Amending or enhancing the local Commercial Banking Insurance and Investment Sales Compliance Guidelines as needed and at least once a year, completing a full review by coordinating input from key parties
  • Developing Insurance and Investment compliance training and briefing materials and arranging deliver to both new front line staff and existing frontline staff in the form of refresher training
  • To also ensure courses are developed and agreed as appropriate as part of new product launches
  • Proactively reaching out to improve awareness and understanding of sales compliance requirements especially in the Commercial Banking frontline and business management.  Use a variety of communication channels including face to face briefings, Commercial Banking Net, emails etc to effectively communicate and establish and maintain a positive corporate approach to Insurance and Investment sales compliance. They will answer ad hoc frontline enquires on Insurance and Investment Compliance issues
  • Helping to support the development of appropriate sales compliance standards across other Asia Pacific Commercial Banking businesses and advising or consulting for Asia Pacific businesses as needed on specific tasks whilst sharing and championing sales compliance good or best practice
  • Reviewing Insurance and Investment related complaints received from Commercial Banking customers and identifying any systematic or significant business issues. By agreeing actions plans as needed to address the issues and ensuring these are implemented


  • University degree in relevant disciplines
  • Extensive relevant working experience within an investment and insurance compliance or control role
  • Investment and insurance industry qualifications preferred
  • Ability to effectively champion investment and insurance sales compliance, ensuring the best possible commitment from the sales frontline whilst robustly justifying and defending required processes
You’ll achieve more when you join HSBC.
HSBC is committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and opportunities to grow within an inclusive and diverse environment. Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.

Technical Skills

  • Cash Management
  • Compliance
  • Futures
  • Sales
  • Training
  • Wealth Management