Associate Director/ Senior Manager, Compliance, Brokerage

About FWD Group

FWD Group (1828.HK) is a pan-Asian life and health insurance business that serves approximately 34 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

For more information about FWD Hong Kong, please visit.

FWD Financial Planning Limited - Corporate Overview
FWD Financial Planning Limited is part of the FWD Group. FWD Group has more than 11 million customers across 10 markets, including some of the fastest-growing insurance markets in the world.

FWD Financial Planning Limited is an expanding SFC, Insurance and MPF licensebrokerfirm. We target to attract top-class financial advisers to deliver quality financial planning advices to clients. Guided by the customer-centric principle, the company will ensure our financial advisors to deliver the most suitable advices to the clients in order to meet clients financial planning needs.

Job Summary

Report to the Responsible Officer, the individual will be responsible for ensuring the Company's compliance with the regulatory requirements from various regulators

The Job

• Oversee the Company's compliance framework in accordance with:

  • Insurance Ordinance (IO)

  • Mandatory Provident Fund Schemes Ordinance (MPFSO)

  • Securities and Futures Ordinance (SFO)

  • Guidelines and codes issued by HKIA, SFC, and MPFA

• Act as the primary liaison with regulatory bodies including HKIA, SFC, and MPFA etc

• Develop, update, and implement compliance policies and procedures aligned with regulatory changes

• Conduct compliance monitoring, internal reviews, and complaint/ internal investigations

• Oversee the Company's AML/CTF program in line with SFC AML Guidelines, AMLO, and FATF standards

• Review and approve third-party payments and deposits in line with SFC, HKIA and MPFA guidance

• Maintain the AML risk register and oversee name screening and PEP monitoring

• Timely update the senior management on financial crime trends and implications to the Company and suitably advise the management on the prevention of financial crimes, regulatory risks and compliance requirements

• Ensure timely and accurate regulatory reporting to the SFC, HKIA, MPFA and other authorities

• Provide compliance and AML training to staff and management

• Act as the main contact point with the SFC and MPFA on compliance matters

• Support licensing applications and ongoing obligations for Responsible Officers (ROs) and licensed representatives

• Advisory on new business initiatives, projects, and business models, including the review of sales distribution related forms, and contracts

• Handle ad hoc tasks as assigned by the Responsible Officer

The Person

• Bachelor's degree in Law, Accounting, Business or related discipline

• Minimum 8 years of experience in compliance and/or AML within a licensed brokerage, financial institution, or wealth management firm

• In-depth knowledge of HKIA, SFC, and MPFA regulations, including SFC Type 1 and 4 activities

• Familiarity with SFC AML Guidelines, BRMQ, and self-assessment checklists

• Proven experience in handling regulatory inspections and audits

• Strong investigative and analytical skills

• CertifiedAnti- MoneyLaunderingSpecialist (CAMS) or equivalent AML certification preferred

• Fluent in written and spoken English and. Cantonese

• Strong analytical and problem-solving skills

• Good leadership, interpersonal, presentation and communication skills

• Able to work independently under pressure and as a team player

• Candidate will less experience will be considered as Senior Manager

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, sex, disability or family status in employment process.