Job Overview

The Compliance Officer manages end‑to‑end licensing administration and provides regulatory compliance support for the insurance brokerage. This role ensures all consultants, technical representatives (TRs), responsible officers (ROs), and corporate entities fulfil Hong Kong Insurance Authority (HKIA) requirements throughout the onboarding, licensing, ongoing compliance, and offboarding lifecycle.

Key Responsibilities

• Manage the full licensing workflow for TRs, Consultants, and Responsible Officers, including document preparation, submission, approval tracking, and record maintenance.

• Liaise with the Insurance Authority (IA), industry bodies, and internal departments on regulatory matters.

• Maintain up‑to‑date licensing records, renewal schedules, and compliance registers.

• Review onboarding documents to ensure accuracy and alignment with HKIA guidelines.

• Conduct compliance checks on sales activities, conduct standards, training hours (CPD), and other regulatory obligations.

• Prepare reports, declarations, and regulatory filings as required by HKIA.

• Support internal policy development, compliance audits, and risk assessments.

• Provide guidance to frontline teams on licensing rules, compliance requirements, and best practices.

• Assist in handling regulatory inquiries, inspections, or audits.

Requirements

• Minimum 3–5 years of experience in compliance, licensing administration, or insurance brokerage operations.

• Strong understanding of HKIA licensing requirements , TR registration, RO appointment rules, and conduct standards.

• Detail‑oriented, highly organized, and possesses a strong sense of responsibility.

• Good communication skills in Chinese (Cantonese & Mandarin) and English.

• Able to work independently, handle confidential matters, and meet deadlines.

Preferred Qualifications

• Experience from an insurance brokerage, insurer, or financial advisory firm.

• Knowledge of CPD requirements, AML/KYC procedures, and onboarding processes.

• Familiarity with digital compliance systems or regulatory portals is an advantage.

Main responsibilities

• Handle the complete license application process for technical representatives, consultants and responsible personnel, including document preparation, submission, approval follow-up and record maintenance.

• Coordinate with the Insurance Authority (IA), industry associations and internal departments on regulatory matters.

• Maintain the latest license records, renewal schedule, and compliance registry.

• Review entry documents to ensure accuracy and compliance with HKIA guidelines.

• Conduct compliance checks on sales behavior, ethical standards, training hours (CPD), and other regulatory requirements.

• Prepare reports, statements and regulatory application documents as required by HKIA.

• Assist in internal policy making, compliance audits and risk assessments.

• Provide front-line teams with license rules, compliance requirements, and best practice guidance.

• Assist in handling regulatory inquiries, inspections or audits.

Job Requirements

• Have3–5 years Compliance, licensing management or insurance broker operations related experience.

• FamiliarityHKIA license requirements、Technical representative registration, responsible personnel appointment rules and ethical standards.

• Pay attention to details, be clear and orderly, and strong sense of responsibility.

• Have good communication skills in Chinese (Cantonese and Mandarin) and English.

• Able to work independently, handle confidential matters and complete tasks on time.

Priority conditions

• WithInsurance brokers, insurance companies or financial consulting firms Relevant experience.

• UnderstandContinuous professional development (CPD) requirements, AML/KYC procedures and onboarding process.

• FamiliarityDigital compliance system or regulatory platform Priority will be given to those who apply.