Responsible Officer

Our client is seeking an experienced and qualified Responsible Officer (RO) to lead and oversee the regulated insurance brokerage and wealth management operations. The candidate will be responsible for supervising day-to-day regulated activities, ensuring strict adherence to Insurance Authority (IA) and Securities and Futures Commission (SFC) regulations, and providing strategic guidance to the business.

Key Responsibilities

• Supervise regulated activities in compliance with IA guidelines and SFC regulations. Formulate, review, and update operational protocols, internal controls, and compliance policies.

• Direct and manage daily brokerage operations, team activities, and client advisory services to ensure ethical standards and risk management protocols are met.

• Act as the primary point of contact with regulatory bodies (IA, SFC, IRDAI, or equivalent local authorities). Handle regulatory reporting, audits, inquiries, and inspections.

• Review and approve product offerings, sales literature, and client suitability assessments for life, general insurance, and wealth solutions.

Key Requirements

• Currently registered or eligible for registration as a Responsible Officer under relevant local regulatory frameworks.
• Minimum 5–7 years of financial services experience, with at least 3 years in a management or supervisory capacity within an insurance brokerage or wealth management firm.
• Bachelor’s degree in Business Administration, Finance, Law, Insurance, or a related discipline.
• Deep understanding of insurance laws, regulatory codes of conduct, product compliance, and risk frameworks.
• Fluency in English, Cantonese and Mandarin).