Regional Head of Compliance – Global Insurance Broker (HNW Clients)

Our client is a fast-growing global insurance brokerage specializing in delivering bespoke insurance and wealth protection solutions to High-Net-Worth (HNW) and Ultra-High-Net-Worth (UHNW) clients. As part of its continued regional expansion, the firm is seeking an experienced Regional Head of Compliance to lead its compliance function across multiple jurisdictions.

Key Responsibilities

• Lead the legal, regulatory, and compliance function across the firm's regional operations.
• Develop, implement, and continuously enhance a robust compliance framework aligned with insurance brokerage regulations and HNW/UHNW client advisory standards.
• Act as a trusted advisor to senior management on regulatory developments, governance matters, business expansion initiatives, and compliance risk.
• Build and maintain strong relationships with regulators, external legal counsel, and key internal stakeholders across multiple jurisdictions.
• Ensure compliance with applicable regulatory requirements, including AML/CFT, sanctions, data privacy, client suitability, licensing, and cross-border distribution rules.
• Design, implement, and oversee internal policies, controls, monitoring programmes, and compliance training to support sustainable business growth.
• Conduct regulatory risk assessments and provide practical compliance solutions while balancing commercial objectives.
• Foster a strong culture of ethics, governance, and regulatory compliance throughout the organisation.

Requirements

• Minimum 15 years' compliance experience within the insurance brokerage, wealth management, private banking, or broader financial services industry.
• Strong knowledge of regulatory frameworks governing HNW/UHNW insurance brokerage, wealth planning, and cross-border distribution.
• Proven ability to balance commercial objectives with effective regulatory risk management.
• Demonstrated experience engaging with regulators and managing complex, multi-jurisdictional compliance matters.
• Strong leadership, stakeholder management, communication, and influencing skills.
• High level of integrity, sound judgment, and the ability to thrive in a fast-paced, entrepreneurial environment.
• Fluent in English and Chinese (Mandarin and/or Cantonese), as the role requires regular communication with regional teams and stakeholders across North Asia.

EA Licence No.: 23S1936