Provide legal advice to internal conduct investigation and enforcement team.
Advise and update company's Agent Code of Conduct based on new regulatory requirements imposed by the Independent Insurance Authority. Oversee the supervision and enforcement regime on insurance and pension intermediaries.
Advice and review company's response to enquiries and investigation notices from the Independent Insurance Authority on conduct issues.
Advise on regulatory requirements imposed by the Independent Insurance Authority which is relevant to Distribution
Operations from time to time.
Maintain effective communication with the Insurance Authority and other departments in the company.
Manage legal and compliance risks by providing solid and practical legal and compliance advice to Distribution
Operations as required.
Minimum 5-7 PQE in legal profession, working in private practice or in house legal department in the financial services industry.
Sound knowledge of local regulatory requirements on distribution of financial products.
Solid experience in advising on conduct and investigation matters on insurance and pension intermediary or SFC intermediary.
Experience in SFC intermediary investigation and proceeding is an advantage.
Excellent analytical, interpersonal and communication skills.
Able to work independently and meet tight deadlines.
This is an extremely strategic role and only the most exceptional will be considered. In the first instance, please contact Alfred Chan at firstname.lastname@example.org for a confidential discussion.