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Senior Officer - Agency Conduct Assurance Section


  • Identify new regulatory changes affecting distribution operation and support team head to update compliance related documentations, including policies, procedures, handbooks, forms, reports, etc, in order to comply with internal and regulatory requirement
  • Communicate up-to-date policies/guidelines with agency
  • Coordinate the agency disciplinary process and guidelines, conduct investigations for complaints related to alleged misconduct and violation of relevant regulations against agents and distributors. Recommend appropriate disciplinary actions and follow up actions and prepare investigation reports
  • Draft compliance communication and training materials and regulatory correspondence
  • Participate in compliance related projects to ensure latest regulatory related issues are handled in alignment with regulator’s existing and new requirement


  • Bachelor degree holder in Law, Finance, Business or related disciplines
  • Minimum 3 years of experience in legal and/or compliance field in insurance, pension industry or financial services sector; experience in customer service, complaint or compliance area is preferred 
  • Good knowledge of insurance regulatory requirements
  • Strong project management, analytical and problem solving skills
  • Self-initiated, analytical-minded and able to work under tight schedule
  • Good command of written and spoken English and Cantonese, fluency in Mandarin is an advantage

Application Method

We offer competitive salary and wide range of benefits such as medical insurance, education allowance etc. Interested parties please apply with full resume including current and expected salary by e-mail to or by mail to Human Resources Department, 22/F CLI Building, 313 Hennessy Road, Wanchai, Hong Kong.