- 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.
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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
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