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Senior Manager, CompliancePrudential Hong Kong Limited
Senior Manager, CompliancePrudential Hong Kong Limited
Job Highlights
  • Supervising, supporting and training teammates
  • Degree holder; preferably a qualified lawyer
  • 5-day work week and flexible benefits
Job Description

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.

To assist Compliance Director in discharging his duties in relation to (i) compliance review and advice (covering both product/non-product review and advice), (ii) regulatory compliance, (iii) compliance training, (iv) implementation of regulatory changes; and (v) ad-hoc projects.

Job responsibilities:

  • Providing independently and communicating effectively sound and justified compliance advice to different business units and teammates in order to:minimize, if not entirely eliminate, the concerned compliance and regulatory risks, etc. (which may include civil and criminal liabilities);facilitate/support business objectives; and make positive and value-added impacts on all business units, projects and initiatives, and the related decision-making processes involving compliance matters.
  • Supervising, supporting and training teammates to provide relevant compliance advice.
  • Liaising with relevant (supervisory) bodies to seek clarification on requirements and matters impacting the Company.
  • Leading/influencing/facilitating/enabling implementation of regulatory changes in order to ensure (i) stakeholders’ clear understanding of the relevant requirements, (ii) adoption of proper controls and processes, and (iii) compliance with legal and regulatory requirements (and to minimize negative impacts (if any) on the Company’s as well).  Supervising, supporting and training teammates to conduct the same.
  • Facilitating/leading/influencing/enabling ad-hoc projects (e.g. sales channel-related projects, operation-related projects, marketing-related projects, etc.).  Supervising, supporting and training teammates to conduct the same.
  • Reviewing (i) sales, product, and marketing materials covering life and general insurance; and (i) relevant materials prepared by Sales Channels and agency compliance.  Supervising, supporting and training teammates to conduct the same.
  • (I) Conducting compliance training and reviewing compliance training materials.  (II) Reviewing/preparing/updating compliance-related policies and procedures, matrix and database, etc.  (III) Facilitating responses to regulatory enquiries.  (IV) Handling regular and ad-hoc compliance reporting relevant to our Market & Business Conduct and Advice Team.  (V) Supervising, supporting and training teammates to conduct the same.

Job requirements:

  • Degree holder; preferably a qualified lawyer
  • Minimum of 8 years related working experience and 10 years working experience in the life insurance industry.
  • Excellent knowledge of (i) laws, and regulatory requirements applicable to Life and General insurance businesses, (ii) relevant compliance control measures, and (iii) Life and General insurance operations (including life administration and agency administration), e.g. underwriting, policy administration, claims, and sales channels (covering agency, bancassurance and broker channels).
  • Strong leadership skills including (without limitation) abilities to (i) adapt to changes, (ii) make independent, sound and informed decisions, (iii) lead a team, and (iv) lead/facilitate projects for implementation of regulatory changes.
  • Strong skills in (i) reasoning and (legal) analysis, (ii) prioritizing and managing more than one issue/problem at a time, and (iii) seeking and implementing standard and alternative solutions to issues/problems.
  • Excellent oral and written communication skills including (without limitation) abilities to (i) persuade and (ii) resolve conflicts fairly and effectively.
  •  Fluent in oral and written English and Chinese; and computer literate.

For other vacancies, please visit our website at

We offer an attractive remuneration package including 5-day work week and flexible benefits. Please submit your application with present and expected salaries online.

To apply:

Data collected will be used for recruitment purpose only and will be kept for 24 months.  Only short-listed candidates will  be notified.

Additional Information
Career Level
Years of Experience
8 years
Employment Type
Full Time, Permanent
Five-day work week, Life insurance, Medical insurance
Company details

Prudential Corporation Asia is one of Asia’s leading life insurance companies with more than 14 million customers in 12 countries. The company is a business unit of Prudential plc of the United Kingdom, and offers a wide range of life insurance, protection, savings and retirement products and services. With a long heritage in Asia, the company has over 500,000 financial consultants who live up to the promise every day to be “Always Listening. Always Understanding". 

Eastspring Investments, our asset management arm, is one of the region’s largest asset managers with on-the-ground presence in 10 markets as well as distribution offices in the US and Europe.

Prudential plc is not affiliated in any manner with Prudential Financial, Inc., a company whose principal place of business is in the United States of America.