Director of Group Compliance
Prudential
Hong Kong
3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.

Background

We help people get the most out of life.

For over 95 years, we have been making healthcare accessible and affordable, protecting wealth and growing assets, and empowering people to save for their goals.

Headquartered in London and Hong Kong, Prudential has been providing familiar, trusted financial security to 15 million customers in Asia and Africa.

Background

The Group Compliance function is led by the Group Head of Compliance (Group Compliance Director - Key Person in Control Function).

The function leads all aspects of compliance with the laws and regulations governing the Prudential Group’s business operations and supports management of the Group’s relationships with its regulators.

Compliance provides advice, mentorship and challenge to ensure relevant regulatory compliance and conduct risks are effectively handled across the Group.

  • The effective management of regulatory compliance and conduct risk is integral to the management of risk across the Group;
  • the protection of customers; and the delivery of the Group's strategic plans and objectives.

    The Group Compliance function is led by the Group Head of Compliance (Group Compliance Director - Key Person in Control Function).

    The function oversees compliance with the laws and regulations governing the Prudential Group’s business operations and supports management of the Group’s relationships with its regulators.

    Compliance provides advice, guidance and challenge to ensure relevant regulatory compliance and conduct risks are effectively managed across the Group.

  • The effective management of regulatory compliance and conduct risk is integral to the management of risk across the Group;
  • the protection of customers; and the delivery of the Group's strategic plans and objectives.

    Principal Accountabilities

    1. Set the conduct and compliance standards and policies for the Group

  • Lead the development, implementation and regular review of a comprehensive set of relevant policies for the Group
  • Ensure that the relevant frameworks are regularly reviewed, updated and effectively applied to reflect the regulatory risks of the Group
  • 2. Lead the delivery of effective conduct and compliance arrangements by business and corporate compliance functions in line with Group policies and group-wide and local regulations

    To provide oversight and support to business compliance heads to ensure that :

  • Regulatory risks are identified, assessed and handled appropriately
  • Compliance functions are appropriately resourced and sufficiently independent to perform their duties objectively
  • Monitoring and oversight activities are carried out to an appropriate standard in accordance with the compliance plan
  • Local and group-wide regulatory relationships are effectively handled in line with Group policy
  • All material issues are raised to the relevant senior / executive management, boards, committees and regulators
  • 3. Supervise the development and delivery of compliance plans

  • Help develop and deliver a programme of risk-based monitoring activities
  • Provide challenge and oversight of business compliance plans to ensure that they :
  • Reflect the regulatory risks in the relevant jurisdictions and provide oversight of Group Compliance Policies
  • Provide sufficient levels of monitoring
  • Provide sufficient advice and mentorship to support the business activities, in particular new and developing business initiatives, products, services and relationships
  • 4. Report on compliance standards within the Group

  • Define the management information and reporting, and develop and use increasingly sophisticated data analytics and tools to enable the relevant board committees to discharge their governance and oversight responsibilities
  • Provide board committees with timely and effective reporting
  • Make an effective contribution to the assessment of Group’s risk profile relative to risk appetite
  • Provide technical advice and reports to these committees as appropriate
  • 5. Support the Group CRCO in handling the Group’s relationships with its regulators

  • Appropriate processes are in place to make sure that HKIA receive all the relevant information required in a timely manner
  • Engagement with regulators is conducted in a positive and proactive manner and any relationship issues are brought up appropriately
  • The Group’s responsibilities under the HKIA’s Group-wide Supervision regime is optimally coordinated and handled
  • Who are we looking for?

  • Deep regulatory experience, knowledge preferably with relationship engagement experience
  • Understanding of the international regulatory environment in respect of Insurance and Asset Management, and the evolving digitalisation of the business
  • Understanding of conduct risk and code of business conduct, including financial crime controls
  • Very good understanding of our products and services
  • Excellent leadership skills in line with leading and shaping a global business!
  • Flair for and orientation towards building sophisticated data analytics and technology capability
  • Strong experience of managing and delivering risk and compliance monitoring and mentorship work at a senior level
  • Demonstrably strong commercial awareness and able to communicate effectively at senior levels (verbally and in writing) as well as able to work on technical issues
  • Mature consulting skills self-awareness, ability to listen actively and to build positive relationships at all levels
  • Transparent, credible and professional personality with tact and self-confidence, an inquiring mind-set and the ability to probe and challenge existing assumptions
  • Flexibility to work across different cultures with differing management styles in a global remit (which may include international travel)
  • Understand the technicalities of regulatory risk, specifically risk measurement and management
  • Strong organisational and interpersonal skills
  • Strong relationship-building skills.
  • Join a team who understands that at the core of what we DO, is people.

    Every day, we spark our collective talent and expertise to reimagine the future of well-being; so we can continue to make a positive impact on our customers and our communities.

    Prudential is an equal opportunity employer. We provide opportunities for people regardless of their gender, ethnicity, disability status, age, religion, caring responsibilities or sexual orientation.

    A diversity of skillsets and backgrounds enriches the organisation. Prudential believes that diversity of experience, thought and background is vital to success, both today and in the future.

    Click here to find out more about our diversity and inclusivity policy.

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