AVP Compliance, HK

Full Time
Kwun Tong
Lead (more than 10 years)
English, Cantonese

Job Description

AVP Compliance, HK

Location: HK-HongKong-HKHO-22/F., Tower A, Manulife Financial Centre, 223-231 Wai Yip Street, Kwun Tong, Kowloon

About Manulife Manulife is a leading Canada-based financial services group with principal operations in Asia, Canada and the United States. Clients look to Manulife for strong, reliable, trustworthy and forward-thinking solutions for their most significant financial decisions. Our international network of employees, agents and distribution partners offers financial protection and wealth management products and services to millions of clients. We also provide asset management services to institutional customers. Funds under management by Manulife and its subsidiaries were approximately C$637 billion (US$597 billion) as at June 30, 2014. Our group of companies operates as Manulife in Canada and Asia and primarily as John Hancock in the United States. Manulife Financial Corporation trades as 'MFC' on the TSX, NYSE and PSE, and under '945' on the SEHK. Manulife can be found on the Internet at



The AVP, Compliance is to provide compliance support to enterprise wide requirements in Hong Kong so as to provide assurance to senior management that regulatory obligations are met.

Compliance Management Program

· Implement the Compliance Management Program to ensure that new / change of legislative requirements, compliance issues are identified, evaluated with control measures are established in a timely manner.  
· Establish and maintain process to monitor the adherence of the program.
· Develop and Implement platforms including regular meeting, training and quality assurance program to promote and cultivate the compliance culture.  
· Compile and prepare regular reports to Regional and Global Compliance teams,  Risks Management team and Board of Directors.  
· Develop and maintain on-going process to administer the program and participate in global initiatives for development of the assessment tools for enhancement of the program.
· Compile regular reports for Regional / Global Compliance teams and Risks Management team and the Board of Directors.

Key Compliance Review /Self-Assessment Program
· Working with Business Unit to review the appropriateness of  key control measures with reference to corporate policies e.g. social media, fraud program etc.  
· Provide advice of any potential issues and monitoring the resolution by BU on a timely basis.

Regulatory Compliance
· Work with BU to keep abreast of regulatory requirements which affects multiple business units e.g. governance structure, GN16, IIA and provide compliance advice for assessment, development and maintenance of key control measures.    

· To provide compliance support on new business initiatives  e.g.  due diligence of counter parties for mergers and acquisitions, customer centricity, general insurance partnership arrangement.  

Staff Training and Development
· Lead and Work with the staff and develop their skills including technical and non-technical skills as per the corporate directions directly and indirectly.  


1. Bachelor Degree or above with at least 10 years of compliance experiences preferably with an major insurer in Hong Kong;
2. Be able to work on the formulation of compliances policies and procedures, implement the same in accordance with the regulations and business needs;
3. Be able to manage a team of at least four employees;
4. Ability to interact tactfully and effectively with company and inter-companies personnal (including regional and global offices) at all levels;
5. Must have strong knowledge and experience of corporate and the related products; and
6. Be able to write, read Chinese and speak Cantonese at professional  level.  

Technical Skills

  • Compliance
  • Due Diligence
  • Mergers & Acquisitions
  • Quality Assurance
  • Risk Management
  • Team Management