Manager/ Assistant 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.

The Job

• Support the implementation and maintenance of 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

• Assist in drafting and updating compliance policies and procedures to reflect regulatory changes

• Conduct compliance monitoring, internal reviews, and assist in investigations

• Support the AML/CTF program, including name screening, PEP monitoring, and maintaining the AML risk register

• Help prepare regulatory reports and submissions to SFC, HKIA, MPFA, and other authorities

• Coordinate compliance training sessions for staff and management

• Assist in licensing applications and ongoing obligations for Responsible Officers and licensed representatives

• Provide compliance advisory on new business initiatives, distribution models, and documentation

• Handle ad hoc compliance tasks as assigned

The Person

• University graduate in Law, Accounting, Business, or related discipline

• Minimum 4-6 years of experience in compliance or AML roles within financial services or brokerage firms

• Familiarity with SFC Type 1 and 4 activities and relevant regulatory guidelines

• Knowledge of AML regulations and operational risk controls

• Strong analytical, organizational, and communication skills

• Ability to work independently and collaboratively in a fast-paced environment

• Proficiency in written and spoken English and Cantonese

• AML certification (e.g., CAMS) is an advantage

• Candidate will less experience will be considered as Assistant 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.