- Assist the Director, Distribution Compliance and Monitoring in developing and continue ongoing improvements of distribution compliance framework including day to day oversight of compliance assessments and review of distribution related programs and controls.
- Provide advice and guidance to the Management, distribution channels and operations functions on distribution compliance matters and initiatives, , where the Management, distribution channels and operations functions seek assistance e on practical and appropriate solutions to support decision making.
- To lead compliance review and assurance programme (including deep dive, read-across and monitoring work) covering insurance operations
- Support Director, Distribution Compliance and Monitoring to develop and maintain the annual compliance monitoring framework as well as the continuous ongoing compliance monitoring controls. This included the regulatory required controls as well as additional controls in place.
- Utilizing various data to spot trends and further deep dives required on relevant topics as necessary.
- Coordinate distribution compliance function related review with Group Compliance, Group-wide Internal Audit and regulators.
- Provide support to Director, Distribution Compliance and Monitoring in the assigned compliance reporting to internal and external parties on distribution compliance related matters.
- Bachelor Degree in Accounting or Business Administration is preferred.
- At least 10 years of working experiences with 5 years specialize in compliance.
- Relevant experience in audit, dealing with regulators or governmental bodies and experience in distribution compliance would be preferred.
- Familiar with insurance related legislations and regulatory requirements in HK.
- Strong written and verbal communication skills including presentation and facilitation capabilities.
- Excellent interpersonal skills and ability to interact with relevant stakeholders.
- Excellent PC skills in MS office.
- Flexibility to operate successfully in a rapidly changing environment.
- Fluency in English and Cantonese essential, Mandarin would also be useful.
-
Compliance Manager 合規經理
发现在: Talent HK A C2 - 4天前
China Re Asset Management (Hong Kong) Company Limited Hong Kong, 香港 全职Job Description 崗位描述 · 根據香港證監會要求,持續落實公司合規相關工作,識別和評估相關合規風險,確保公司業務符合香港監管要求; · 協助公司牌照和個人牌照的申請(即負責人員及代表); · 安排持續的專業培訓課程,並保持CPT記錄; · 定期審查和更新客戶接受政策和客戶識別程式; · 執行KYC盡職調查,並形成風險分析; · 定期向總部草擬合規報告; · 使用最新的監管規則和指南更新內部合規手冊; · 配合部門主管完成合規相關工作; · 完成領導交辦的其他工作。 · Requirement 崗位要求 · 法律、會計、金融專業本科及以上學 ...
-
Compliance Manager
发现在: Talent HK A C2 - 4天前
One Arrow Consulting Hong Kong, 香港 全职Our client is domiciled in Hong Kong and holds an Asset Management license (SFC 9) regulated by the Securities and Futures Commission of Hong Kong. They are currently seeking an experienced compliance manager who are directly involved with a Type 9 manager preferably with SFC aud ...
-
Compliance Manager
发现在: Talent HK A C2 - 2天前
Bank Of China (Hong Kong) Limited Hong Kong, 香港 全职Responsibilities: Provide advisory services to business units regarding regulatory compliance issues on investment or insurance products/ services · Participate and assist in regulatory compliance-related projects, initiatives and system launch / enhancement · Review policies ...
-
Compliance Manager
发现在: Talent HK A C2 - 5天前
Bank Of China (Hong Kong) Limited Hong Kong, 香港 全职Responsibilities: Provide advisory services to business units (including retail banking, corporate banking and global markets) regarding regulatory compliance issues on new products/ services and business propositions · Participate and assist in regulatory compliance-related pro ...
-
Compliance Manager
发现在: Talent HK C2 - 19分钟前
The Bank of East Asia Hong Kong, 香港 全职Responsibilities · Prepare annual compliance review plan · Conduct compliance reviews and self-assessments · Prepare regular management reports on compliance updates and issues · Provide recommendations to strengthen the Bank's control framework and follow up the implementation ...
-
Compliance Manager
发现在: beBee S2 HK - 4天前
Zurich Insurance Company Ltd. HongKong, 香港Assist the Head of Compliance to promote ethical and proper business practices. Support in development, implementation and monitoring of compliance programs and training. Provide compliance advice to business units. And assist in counseling the business on matters of risk affecti ...
-
Compliance Manager
发现在: Talent HK C2 - 2天前
Zurich Insurance Company Hong Kong, 香港Assist the Head of Compliance to promote ethical and proper business practices. Support in development, implementation and monitoring of compliance programs and training. Provide compliance advice to business units. And assist in counseling the business on matters of risk affecti ...
-
Asset Management Compliance
发现在: Talent HK A C2 - 2天前
Ashford Benjamin Ltd Hong Kong, 香港 全职Responsibilities: · Responsible for compliance program, policies and procedures · Identify, monitor, and communicate regulatory changes trends and proposals to senior management · Review marketing materials and products, · Liaise with securities regulators and preparing regulato ...
-
Risk and Compliance Manager
发现在: Talent HK A C2 - 2天前
The Bank of East Asia Hong Kong, 香港 全职Ri · Responsibilities · Monitor the compliance matters related to the operations of pension and trust businesses · Ensure the relevant legislation, rules and guidelines are complied with all applicable regulations, rules, codes, guidelines and standards set by regulators and the ...
-
Senior Compliance Manager
发现在: Talent HK A C2 - 5天前
Bank Of China (Hong Kong) Limited Hong Kong, 香港 全职Responsibilities:Provide advice to the business units regarding regulatory compliance issues on general banking products/ services (including deposit, loans, credit cards, fintech projects) and business propositions · Assist the business units in evaluating the risk involved in a ...
-
Manager, Business Compliance
发现在: Talent HK A C2 - 3天前
Dah Sing Financial Group Hong Kong, 香港 全职About Dah Sing Group · The Dah Sing Group is a leading financial services group in Hong Kong offering banking, insurance, financial and other related services through its growing network of over 70 branches in Hong Kong, Macau and Mainland China. · Our currency is caring, teamw ...
-
Compliance Risk Manager
发现在: Talent HK A C2 - 3天前
Bank Of China (Hong Kong) Limited Hong Kong, 香港 全职Responsibilities:Formulate and update compliance risk and KYC policies and procedures in light of the latest regulatory requirements and market practices · Provide advice to frontline and other relevant units on compliance risk and KYC related matters · Conduct and improve transa ...
-
IT Policy and Compliance Manager
发现在: One Red Cent Asia eFC C2 - 8小时前
China Construction Bank (Asia) Corporation Limited Hong Kong, 香港 全职Main Responsibilities · - Responsible for acting as the project manager in coordinating and supporting internal and external audit engagements (e.g. external engagements includes but not limited to regulatory compliance projects such as independent assessments, PCI-DSS, SWIFT CS ...
-
Compliance Manager/Senior Manager
发现在: Talent HK A C2 - 23分钟前
X-Giants International Hong Kong Limited Hong Kong, 香港 全职Compliance Manager/Senior Manager · Responsibilities: · Compliance Policy and Procedures: Develop and update the company's compliance policies and procedures to ensure business activities comply with national and regional financial regulatory laws. · Regulatory Agency Communicati ...
-
Compliance, Senior Manager/ Manager
发现在: Talent HK A C2 - 5天前
Omni Group Asia Ltd. Hong Kong, 香港 全职Responsibilities · Responsible for regulatory compliance matters pertaining to insurance product offerings, sales, and distribution. · Develop and oversee robust compliance programs that effectively address market conduct, regulatory requirements, and internal policies. · Ensure ...
-
Assistant Manager, Compliance
发现在: Talent HK A C2 - 5天前
Dah Sing Financial Group Hong Kong, 香港 全职About Dah Sing Group · The Dah Sing Group is a leading financial services group in Hong Kong offering banking, insurance, financial and other related services through its growing network of over 70 branches in Hong Kong, Macau and Mainland China. · Our currency is caring, teamw ...
-
Senior Manager, Compliance
发现在: Talent HK C2 - 20小时前
Prudential plc Hong Kong, 香港 全职Prudential's purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured, for our people, customers, and partners. We provide a platform for our peop ...
-
Manager, Business Compliance
发现在: Talent HK C2 - 4天前
Dah Sing Bank Hong Kong, 香港Main Responsibilities: · To conduct selected CDD review, checking, acting as AML/CFT advisor for marketing staff and provide consultancy role on CDD handling; · The review includes but is not limited to the adherence to the internal policies for customer due diligence, the opera ...
-
Assistant Manager, Compliance
发现在: Talent HK C2 - 2天前
Dah Sing Bank Hong Kong, 香港Job Purpose: · • To assist Group Compliance Division in discharging the duties of ensuring the Bank's compliance with rules, regulations and guidelines issued by regulatory bodies on e.g. data privacy, deposit protection, Code of Banking Practice and technology risks etc. · • To ...
-
KYC Manager, Compliance
发现在: beBee S2 HK - 20小时前
Randstad Hong Kong Central and Western District, 香港 全职about the company. · Our client is a prestigious global corporate banking institution. They offer a comprehensive range of banking services, including deposits, loans, receivables, securities, cash equivalents, debt investments, and more. The Bank is dedicated to serving enterpri ...
Senior Manager, Compliance - Hong Kong, 香港 - Prudential plc
描述
Prudential's purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured, for our people, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and we support our people's career ambitions. We pledge to make Prudential a place where you can Connect, Grow, and Succeed.
The role will support the Director, Distribution Compliance and Monitoring on providing advice on distribution compliance matters and compliance monitoring and oversight including regular assurance activities by Compliance. The role will also provide support on projects and new business initiatives in relation to distribution and monitoring activities.Job Responsibilities
Job Requirements