Senior Manager, Compliance

3 weeks ago

Hong Kong, Hong Kong SAR China Prudential plc Full time

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 has a direct / firm reporting line to Head of ERM (Macau Branch) and a dotted line to the Chief Compliance Officer (“CCO”) of PHKL / PGHK.

The role is expected to support the Head of ERM (Macau Branch) and CCO to ensure the day-to-day operations of Macau branch complies with Macau laws and regulations as well as relevant Head Office compliance requirements. The role needs to provide compliance advice to the processes and procedures and ensure implementation of relevant policies and standards within Macau branch. In addition, the role also may need to support any ad-hoc projects/ tasks upon request.

​Job Responsibilities

Promote ethical business practices and conduct as well as provide compliance advice to ensure the Macau branch operations are meeting Macau’s law and regulatory requirements, group policies and procedures. Management of Macau branch’s relationship with local Macau regulator, including submission of regulatory filings and statistics, handling of queries from regulators and coordination of regulatory inspection/visits, etc. Compliance reporting including the preparation of information for PHKL Management Risk Committee, Board Risk Committee and Audit Committee and monitor any material development/ change of governmental policies and directions which may impact Macau insurance industry and specifically Macau branch. Support and facilitate the rollout of new or revised Group/PHKL and Macau Branch initiatives. Collaborate with wider Prudential colleagues, support PHKL/PGHK CCO in proactively providing Macau branch’s views throughout the consultation and implementation process. Monitor new requirements and initiatives and advise on action plan. Ensure monitoring of compliance with relevant Group and PHKL compliance policies, procedures, standards, and provide escalation to PHKL/PGHK CCO with relevant compliance incidents and issues. Support Macau Branch compliance monitoring program or other audit or quality assurance activities. Perform and support regular risk assessment on compliance, Anti-Money Laundering (AML”) and Anti- Bribery Corruption (“ABC”) and trend analysis to ensure that compliance risks are completely and timely identified, measured and documented with adequate monitoring in place and remediating actions taken timely to ensure Macau Branch is operating within the Company’s risk appetite.

Job Requirements

Degree holder in relevant discipline such as Accounting, Business Administration, Risk Management or Law would be preferred. At least 7 years of financial industry experiences and at least 3-4 years in Macau insurance industry with specialized experience in compliance/ regulatory/ audit field. Relevant professional qualifications (e.g. LOMA, ACII) is preferred. Resident of Macau SAR is preferred Proficiency in MS Office. Strong command in both written and spoken English and Chinese. Knowledge of Portuguese and Cantonese/Mandarin is an added advantage. Strong compliance and governance sense. Strong regulatory knowledge of Macau Life insurance sector and good understanding of Macau financial/insurance market. Meticulous, analytical and a team player with strong communication skills to work with different stakeholders. Experience of working with senior management is an advantage. Good time management to multi-tasking in handling various tasks simultaneously. Self-motivated, proactive and able to work independently

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