Chief Compliance & Risk Officer (Wealth Management)
Prudential
Hong Kong
5天前

At Prudential, we understand that success comes from the talent and commitment of our people. Together, we have a shared vision in securing the future of our customers and our communities.

We strive to build a business that you can shape, an inclusive workplace where everyone’s ideas are valued and a culture where we can thrive together.

Our people stay connected and tuned in to what’s happening around us, keeping us ahead of the curve. While focused on the long-term, we look to the future to bring growth, development and benefit to everyone whose lives we touch.

This senior position is for a newly established Wealth Management organization within the Prudential group in HK. The individual will oversee and evaluate compliance and risk issues / concerns for the new company.

The position ensures that the management and employees are : (i) in compliance with the rules and regulations of HK regulatory authorities, (ii) that Company policies and procedures are being followed, and (iii) that behavior in the organization meets the Company’s standards of conduct.

The individual will be the SFC designated Manager-In-Charge (MIC) of Compliance, AML & CFTC and Risk for the new company.

Job responsibilities :

  • Handling SFC licensing matters, regulatory inquiries, inspections and investigations. Keep track of SFC regulatory changes.
  • Responding to alleged breach or violation of rules, regulations, policies, procedures, and standards of conduct by recommending effective investigative procedures and sensible solutions
  • Providing guidance and advice to the Board, management and employees of the Company from compliance perspective. This will include ensuring that all research and marketing publications are SFC compliant.
  • Preparing, maintaining, and updating policies and procedures for the general operation of the Company to comply with the Companies Ordinance, Securities and Futures Ordinance and relevant subsidiary legislation and codes issued by the regulators for licensed persons.
  • Managing customer complaint process and conduct risk of licensed representative. Conduct analysis on trends regarding compliance and regulatory activities of licensed representatives.
  • Embedded, maintain and ensure compliance with Group governance and AML / CTF policies and procedures. Ensure detailed and prompt investigation of AML / CTF file reviews and incidents
  • Work with relevant Group and Regional functions to support the broader wealth strategy and deployment for Prudential
  • Job requirements :

  • Bachelor / Master’s Degree.
  • Relevant professional qualification / s is desirable.
  • In depth knowledge and understanding of SFC compliance requirements with a minimum of 10+ years experience in compliance for an SFC regulated entity, preferably with exposure to retail product distribution.
  • Exposure to compliance oversight of investment advisors and SFC licensed digital distribution platforms is desirable but not essential.
  • Strong written and verbal communication skills including presentation and facilitation capabilities.
  • Excellent interpersonal skills and ability to interact with and influence senior executives.
  • Proven negotiation and influencing skills.
  • Fluency (written and spoken) in English and Cantonese is essential.
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