- Development and continue ongoing improvements of distribution compliance framework including day to day oversight of compliance assessments and review of distribution related programs and projects to facilitate business initiatives and forwarding looking business drivers while considering the compliance impact. Acting as the point of contact for various distribution channel's compliance related enquiries.
- 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.
- Keep the Chief Compliance Officer and management appropriately informed on various distribution compliance and monitoring results including the oversight of mystery shopping program and social media monitoring.
- Carry out ad hoc reviews and projects at the request of CCO or regulatory bodies such as HKIA as part of the overall monitoring and assurance activities for Compliance.
- To lead the team and demonstrate leadership by developing suitable compliance personnel to execute the distribution compliance and monitoring function effectively. Also required to managed internal and external stakeholders throughout the organization and insurance industry in upholding Prudential Compliance standards. Liaise with HKIA Market Conduct division and group office on Distribution Compliance and monitoring related matters.
- Degree holder with knowledge and training in accountancy, finance or law.
- At least 12 – 15 years of related experience such as compliance, audit or risk related in the financial sector, preferably in insurance industry.
- Familiar with insurance related legislations and regulatory requirements in HK.
- Good project management, communication and presentation skills.
- Excellent PC skills in MS office.
- Excellent command of both spoken and written English.
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Director, Distribution Compliance and Monitoring - 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.
To support Chief Compliance Officer, Compliance in discharging his/her duties and ensure compliance with relevant law, regulations and Group policies. Lead and direct a sub-team in 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
