328 IT Compliance jobs in Hong Kong

**Associate Director, Data Security and Compliance**
The Asia Data Office (ADO) is a team of data professionals dedicated to enabling data as a strategic asset to drive business outcomes across Asia and the broader Asia segment. The team comprises Data Analysts, Architects, Engineers, and Business Intelligence professionals focused on delivering high-quality, accessible data for use cases spanning Business Intelligence, Digital Applications, and Advanced Analytics.
We are seeking a highly skilled and experienced Associate Director, Data Security and Compliance to spearhead the development and enforcement of access management frameworks and data risk policies across multiple data lakes in Asia, while ensuring alignment with global standards. This role is critical in maintaining regulatory compliance across ten markets and managing key data risks within the Asia Data Office.
**Position Responsibilities:**
**Access Management**
+ **Framework Development:** Design, implement, and maintain robust access management frameworks and policies to ensure secure and efficient data access across Asia's data lakes.
+ **Policy Integration:** Collaborate with global teams to align regional access policies with global standards.
+ **Access Controls:** Regularly monitor and audit access controls to ensure compliance with internal policies and security protocols.
+ **User Access Management:** Oversee role-based access provisioning, ensuring appropriate access levels based on responsibilities.
+ **Technology Enablement:** Partner with IT and architecture teams to implement tools and technologies that support access governance.
**Data Governance**
+ **Governance Oversight:** Ensure effective governance of data access, maintaining data integrity, security, and availability.
+ **Quality Initiatives:** Lead efforts to standardize and harmonize data access processes across the region.
+ **Policy Enforcement:** Ensure adherence to data governance policies by all stakeholders.
**Regulatory Compliance**
+ **Compliance Monitoring:** Track and ensure compliance with data access regulations across ten markets, adapting policies as needed.
+ **Regulatory Liaison:** Work closely with legal and compliance teams to meet local and international regulatory requirements.
+ **Documentation:** Maintain clear and comprehensive documentation of access policies and procedures.
**Data Risk Management**
+ **Risk Identification & Mitigation:** Identify, assess, and mitigate data privacy and security risks. Lead Privacy Impact Assessments (PIAs) and Data Protection Impact Assessments (DPIAs).
+ **Risk Execution:** Own and execute Information Risk Assessments (IRAs) for the Asia Data Office.
+ **Audit & Compliance:** Conduct regular audits to ensure ongoing compliance with privacy and security laws. Implement corrective actions as necessary.
+ **Incident Response:** Lead response efforts for data breach incidents, including investigation, reporting, and remediation.
+ **Reporting:** Provide regular updates on data risk status and mitigation strategies to the Asia Chief Data Officer and senior leadership.
+ **Training & Awareness:** Develop and deliver training programs to promote a culture of privacy and data security awareness.
**Coordination & Collaboration**
+ **Cross-Functional Engagement:** Collaborate with IT, legal, compliance, architecture, engineering, and business teams to ensure cohesive access management.
+ **Culture Building:** Promote data stewardship and accountability across the organization.
+ **Solution Design:** Work closely with solution and data architects to design access management solutions aligned with business and regulatory needs.
**Required Qualifications:**
+ Bachelor's or Master's degree in Information Technology, Data Science, Business Administration, or a related field.
+ 8-10 years of experience in access management, data governance, or risk management.
+ Experience in a multinational organization with a focus on Asia.
+ Professional certifications such as CIPP, CRISC, or CDMP.
+ Strong knowledge of access frameworks, governance policies, and regulatory compliance.
+ Proficiency in technologies such as SQL, Oracle RDBMS, Microsoft Synapse, Azure Data Lake Storage (ADLS), Azure Data Factory, Cosmos DB, and Databricks.
+ Foundational understanding of emerging technologies like Generative AI and OpenAI.
+ Demonstrated experience in managing data risks and implementing mitigation strategies.
+ Excellent leadership, communication, and stakeholder management skills.
+ Ability to thrive in a fast-paced, dynamic environment with multiple priorities.
**_When you join our team:_**
+ We'll empower you to learn and grow the career you want.
+ We'll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
+ As part of our global team, we'll support you in shaping the future you want to see.
**Acerca de Manulife y John Hancock**
Manulife Financial Corporation es un importante proveedor internacional de servicios financieros que ayuda a las personas a tomar decisiones de una manera más fácil y a vivir mejor. Para obtener más información acerca de nosotros, visite .
**Manulife es un empleador que ofrece igualdad de oportunidades**
En Manulife/John Hancock, valoramos nuestra diversidad. Nos esforzamos por atraer, formar y retener una fuerza laboral tan diversa como los clientes a los que prestamos servicios, y para fomentar un entorno laboral inclusivo en el que se aprovechen las fortalezas de las culturas y las personas. Estamos comprometidos con la equidad en las contrataciones, la retención de talento, el ascenso y la remuneración, y administramos todas nuestras prácticas y programas sin discriminación por motivos de raza, ascendencia, lugar de origen, color, origen étnico, ciudadanía, religión o creencias religiosas, credo, sexo (incluyendo el embarazo y las afecciones relacionadas con este), orientación sexual, características genéticas, condición de veterano, identidad de género, expresión de género, edad, estado civil, estatus familiar, discapacidad, o cualquier otro aspecto protegido por la ley vigente.
Nuestra prioridad es eliminar las barreras para garantizar la igualdad de acceso al empleo. Un representante de Recursos Humanos trabajará con los solicitantes que requieran una adaptación razonable durante el proceso de solicitud. Toda la información que se haya compartido durante el proceso de solicitud de adaptación se almacenará y utilizará de manera congruente con las leyes y las políticas de Manulife/John Hancock correspondientes. Para solicitar una adaptación razonable en el proceso de solicitud, envíenos un mensaje a .
**Modalidades de Trabajo**
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Associate Director, Data Security and Compliance

Join to apply for the Associate Director, Data Security and Compliance role at Manulife

Associate Director, Data Security and Compliance

2 weeks ago Be among the first 25 applicants

Join to apply for the Associate Director, Data Security and Compliance role at Manulife

The Asia Data Office (ADO) is a team of data professionals dedicated to enabling data as a strategic asset to drive business outcomes across Asia and the broader Asia segment. The team comprises Data Analysts, Architects, Engineers, and Business Intelligence professionals focused on delivering high-quality, accessible data for use cases spanning Business Intelligence, Digital Applications, and Advanced Analytics.
We are seeking a highly skilled and experienced Associate Director, Data Security and Compliance to spearhead the development and enforcement of access management frameworks and data risk policies across multiple data lakes in Asia, while ensuring alignment with global standards. This role is critical in maintaining regulatory compliance across ten markets and managing key data risks within the Asia Data Office.
Position Responsibilities
Access Management

• Framework Development: Design, implement, and maintain robust access management frameworks and policies to ensure secure and efficient data access across Asia’s data lakes.
• Policy Integration: Collaborate with global teams to align regional access policies with global standards.
• Access Controls: Regularly monitor and audit access controls to ensure compliance with internal policies and security protocols.
• User Access Management: Oversee role-based access provisioning, ensuring appropriate access levels based on responsibilities.
• Technology Enablement: Partner with IT and architecture teams to implement tools and technologies that support access governance.
  

Data Governance

• Governance Oversight: Ensure effective governance of data access, maintaining data integrity, security, and availability.
• Quality Initiatives: Lead efforts to standardize and harmonize data access processes across the region.
• Policy Enforcement: Ensure adherence to data governance policies by all stakeholders.
  

Regulatory Compliance

• Compliance Monitoring: Track and ensure compliance with data access regulations across ten markets, adapting policies as needed.
• Regulatory Liaison: Work closely with legal and compliance teams to meet local and international regulatory requirements.
• Documentation: Maintain clear and comprehensive documentation of access policies and procedures.
  

Data Risk Management

• Risk Identification & Mitigation: Identify, assess, and mitigate data privacy and security risks. Lead Privacy Impact Assessments (PIAs) and Data Protection Impact Assessments (DPIAs).
• Risk Execution: Own and execute Information Risk Assessments (IRAs) for the Asia Data Office.
• Audit & Compliance: Conduct regular audits to ensure ongoing compliance with privacy and security laws. Implement corrective actions as necessary.
• Incident Response: Lead response efforts for data breach incidents, including investigation, reporting, and remediation.
• Reporting: Provide regular updates on data risk status and mitigation strategies to the Asia Chief Data Officer and senior leadership.
• Training & Awareness: Develop and deliver training programs to promote a culture of privacy and data security awareness.
  

Coordination & Collaboration

• Cross-Functional Engagement: Collaborate with IT, legal, compliance, architecture, engineering, and business teams to ensure cohesive access management.
• Culture Building: Promote data stewardship and accountability across the organization.
• Solution Design: Work closely with solution and data architects to design access management solutions aligned with business and regulatory needs.
  

Required Qualifications

• Bachelor’s or Master’s degree in Information Technology, Data Science, Business Administration, or a related field.
• 8–10 years of experience in access management, data governance, or risk management.
• Experience in a multinational organization with a focus on Asia.
• Professional certifications such as CIPP, CRISC, or CDMP.
• Strong knowledge of access frameworks, governance policies, and regulatory compliance.
• Proficiency in technologies such as SQL, Oracle RDBMS, Microsoft Synapse, Azure Data Lake Storage (ADLS), Azure Data Factory, Cosmos DB, and Databricks.
• Foundational understanding of emerging technologies like Generative AI and OpenAI.
• Demonstrated experience in managing data risks and implementing mitigation strategies.
• Excellent leadership, communication, and stakeholder management skills.
• Ability to thrive in a fast-paced, dynamic environment with multiple priorities.
  

When You Join Our Team

• We’ll empower you to learn and grow the career you want.
• We’ll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
• As part of our global team, we’ll support you in shaping the future you want to see.
  

About Manulife And John Hancock
Manulife Financial Corporation is a leading international financial services provider, helping people make their decisions easier and lives better. To learn more about us, visit is an Equal Opportunity Employer
At Manulife/John Hancock, we embrace our diversity. We strive to attract, develop and retain a workforce that is as diverse as the customers we serve and to foster an inclusive work environment that embraces the strength of cultures and individuals. We are committed to fair recruitment, retention, advancement and compensation, and we administer all of our practices and programs without discrimination on the basis of race, ancestry, place of origin, colour, ethnic origin, citizenship, religion or religious beliefs, creed, sex (including pregnancy and pregnancy-related conditions), sexual orientation, genetic characteristics, veteran status, gender identity, gender expression, age, marital status, family status, disability, or any other ground protected by applicable law.
It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will work with applicants who request a reasonable accommodation during the application process. All information shared during the accommodation request process will be stored and used in a manner that is consistent with applicable laws and Manulife/John Hancock policies. To request a reasonable accommodation in the application process, contact
Working Arrangement
Hybrid Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Other
• Industries Insurance

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Get notified about new Director of Security jobs in Hong Kong, Hong Kong SAR .

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Shenzhen, Guangdong, China CN 0,000.00-CN 0,000.00 2 years ago

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1 day ago Be among the first 25 applicants

This is a pivotal leadership position at the heart of our company's governance and integrity framework. As the SVP of Regulatory Compliance, you will be the designated Compliance Officer, serving as our primary liaison with the Hong Kong Monetary Authority (HKMA). You will be entrusted with the ultimate responsibility for owning, maintaining, and enhancing our compliance framework to ensure we not only meet but exceed regulatory expectations. This strategic role is critical to our license to operate, our public reputation, and our ability to innovate responsibly.

Key Responsibilities:

• Regulatory Relationship Management:
• Lead and manage all regulatory engagement with the HKMA and other relevant authorities. Act as the primary, official point of contact for supervisory teams, handling inquiries, coordinating examinations, and ensuring timely, accurate, and high-quality responses.
• Cultivate and maintain a relationship of trust and transparency with our regulators.
• Compliance Framework & Governance:
• Own and continuously enhance the company's compliance framework, including all policies, procedures, and internal controls to ensure robust adherence to all applicable laws, particularly the Payment Systems and Stored Value Facilities Ordinance (PSSVFO) and other relevant guidelines and circulars.
• Proactively oversee the regulatory monitoring process to identify, assess, and implement necessary changes in response to the evolving legal and regulatory landscape.
• Leadership & Culture:
• Drive a strong, proactive compliance culture throughout the entire organization, from the board level to daily operations.
• Develop and deliver impactful, ongoing compliance training programs for all staff to ensure a high level of awareness and competence across the company.
• Serve as a key member of the leadership team, providing guidance and strategic input on all matters with regulatory implications.
• Advisory & Assurance:
• Act as a strategic advisor to the business and senior management, providing pragmatic and commercially-minded compliance guidance on new products, business initiatives, and emerging technologies.
• Lead internal compliance reviews and risk assessments to provide assurance to the Board and senior management on the effectiveness of the control environment.
• Designated Officer Roles:
• Formally act as the designated Compliance Officer and Code of Conduct Officer for the company, maintaining all required regulatory records and fulfilling all statutory obligations associated with these roles.

Qualifications & Experience:

• A minimum of 10 years of progressive experience in regulatory compliance, risk management, or internal audit within an HKMA-regulated Authorized Institution (AI), Stored Value Facility (SVF), or a relevant regulatory body.
• Deep, demonstrable expertise in the Hong Kong regulatory environment, particularly the Banking Ordinance, PSSVFO and the HKMA's AML/CFT guidelines. Direct experience with Banking or SVF regulations is strongly preferred.
• Bachelor's degree in Law, Finance, Accounting, or a related discipline. Relevant professional qualifications are highly advantageous.
• Proven track record of successfully managing relationships and communications with financial regulators, especially the HKMA.
• Exceptional communication, interpersonal, and stakeholder management skills, with the gravitas to engage effectively with senior management, the Board of Directors, and regulators.
• A proactive, hands-on, and commercially-minded leader with unwavering integrity and a commitment to upholding the highest ethical standards.

General Culture and Benefits of RD Technologies

• Exciting and collaborative startup environment.
• Give your best while having fun and grow as a person.
• A flat structure: your ideas get heard by the right people very quickly.
• Creating your own profile in the startup ecosystem.
• Casual dress code.
• Free coffee, tea, drinks and snacks daily.
• In-house gym facilities.
• Regular and fun company activities.
• Other leaves in addition to annual leaves, e.g. marriage leave, birthday leave, compassionate leave.

Data collected would be used for recruitment purposes only. Applicants who do not hear from us may consider their application unsuccessful and their data will be destroyed within 24 months of receipt.

Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Business Development and Sales

Referrals increase your chances of interviewing at RD Technologies by 2x

Get notified about new Vice President Compliance jobs in Hong Kong, Hong Kong SAR .

Vice President, Product Compliance (Corporate Banking) (Asst) Vice President, Portfolio Management & Risk Analytics (Personal Banking) Vice President, Cybersecurity Risk Lead, Asia Pacific Vice President, Credit Policy and Portfolio Management (Unsecured Lending), Risk Management Group AVP - Compliance Assurance (Corporate Bank) Compliance Officer (Virtual Bank Candidate Welcome) Vice-President - Compliance 2nd Level Controls, Asia Pacific Senior Compliance Officer, General Compliance Vice President, High Risk Review - APAC, Financial Crimes Office Asia, Intelligence and Analytics

Central & Western District, Hong Kong SAR 2 weeks ago

AVP - IT Risk (Operational Risk), Corporate Bank Assistant Vice President - Operational Risk (IT Risk) Compliance Officer, Financial Crime, Compliance Compliance and Legal Officer - Consulting Firm Assistant Vice President (12-month Contract) Global Markets Operations Department

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#J-18808-Ljbffr

1 day ago Be among the first 25 applicants

This is a pivotal leadership position at the heart of our company's governance and integrity framework. As the SVP of Regulatory Compliance, you will be the designated Compliance Officer, serving as our primary liaison with the Hong Kong Monetary Authority (HKMA). You will be entrusted with the ultimate responsibility for owning, maintaining, and enhancing our compliance framework to ensure we not only meet but exceed regulatory expectations. This strategic role is critical to our license to operate, our public reputation, and our ability to innovate responsibly.

Key Responsibilities:

• Regulatory Relationship Management:
• Lead and manage all regulatory engagement with the HKMA and other relevant authorities. Act as the primary, official point of contact for supervisory teams, handling inquiries, coordinating examinations, and ensuring timely, accurate, and high-quality responses.
• Cultivate and maintain a relationship of trust and transparency with our regulators.
• Compliance Framework & Governance:
• Own and continuously enhance the company's compliance framework, including all policies, procedures, and internal controls to ensure robust adherence to all applicable laws, particularly the Payment Systems and Stored Value Facilities Ordinance (PSSVFO) and other relevant guidelines and circulars.
• Proactively oversee the regulatory monitoring process to identify, assess, and implement necessary changes in response to the evolving legal and regulatory landscape.
• Leadership & Culture:
• Drive a strong, proactive compliance culture throughout the entire organization, from the board level to daily operations.
• Develop and deliver impactful, ongoing compliance training programs for all staff to ensure a high level of awareness and competence across the company.
• Serve as a key member of the leadership team, providing guidance and strategic input on all matters with regulatory implications.
• Advisory & Assurance:
• Act as a strategic advisor to the business and senior management, providing pragmatic and commercially-minded compliance guidance on new products, business initiatives, and emerging technologies.
• Lead internal compliance reviews and risk assessments to provide assurance to the Board and senior management on the effectiveness of the control environment.
• Designated Officer Roles:
• Formally act as the designated Compliance Officer and Code of Conduct Officer for the company, maintaining all required regulatory records and fulfilling all statutory obligations associated with these roles.

Qualifications & Experience:

• A minimum of 10 years of progressive experience in regulatory compliance, risk management, or internal audit within an HKMA-regulated Authorized Institution (AI), Stored Value Facility (SVF), or a relevant regulatory body.
• Deep, demonstrable expertise in the Hong Kong regulatory environment, particularly the Banking Ordinance, PSSVFO and the HKMA's AML/CFT guidelines. Direct experience with Banking or SVF regulations is strongly preferred.
• Bachelor's degree in Law, Finance, Accounting, or a related discipline. Relevant professional qualifications are highly advantageous.
• Proven track record of successfully managing relationships and communications with financial regulators, especially the HKMA.
• Exceptional communication, interpersonal, and stakeholder management skills, with the gravitas to engage effectively with senior management, the Board of Directors, and regulators.
• A proactive, hands-on, and commercially-minded leader with unwavering integrity and a commitment to upholding the highest ethical standards.

General Culture and Benefits of RD Technologies

• Exciting and collaborative startup environment.
• Give your best while having fun and grow as a person.
• A flat structure: your ideas get heard by the right people very quickly.
• Creating your own profile in the startup ecosystem.
• Casual dress code.
• Free coffee, tea, drinks and snacks daily.
• In-house gym facilities.
• Regular and fun company activities.
• Other leaves in addition to annual leaves, e.g. marriage leave, birthday leave, compassionate leave.

Data collected would be used for recruitment purposes only. Applicants who do not hear from us may consider their application unsuccessful and their data will be destroyed within 24 months of receipt.

Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Business Development and Sales

Referrals increase your chances of interviewing at RD Technologies by 2x

Get notified about new Vice President Compliance jobs in Hong Kong, Hong Kong SAR .

Vice President, Product Compliance (Corporate Banking) (Asst) Vice President, Portfolio Management & Risk Analytics (Personal Banking) Vice President, Cybersecurity Risk Lead, Asia Pacific Vice President, Credit Policy and Portfolio Management (Unsecured Lending), Risk Management Group AVP - Compliance Assurance (Corporate Bank) Compliance Officer (Virtual Bank Candidate Welcome) Vice-President - Compliance 2nd Level Controls, Asia Pacific Senior Compliance Officer, General Compliance Vice President, High Risk Review - APAC, Financial Crimes Office Asia, Intelligence and Analytics

Central & Western District, Hong Kong SAR 2 weeks ago

AVP - IT Risk (Operational Risk), Corporate Bank Assistant Vice President - Operational Risk (IT Risk) Compliance Officer, Financial Crime, Compliance Compliance and Legal Officer - Consulting Firm Assistant Vice President (12-month Contract) Global Markets Operations Department

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Manager, Regulatory Compliance & Advisory Manager, Regulatory Compliance & Advisory

3 days ago Be among the first 25 applicants

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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 the Director, Advisory & Regulatory Compliance in discharging his duties and ensure compliance with relevant law, regulations and Group policies. Providing advice on products and marketing campaign/promotions, liaison for product and marketing materials’ approval by Compliance, as well as providing advisory support for Product and Marketing teams. The role will also provide support on projects and new business initiatives as well as regulatory change implementation, as well as administrative support to the Compliance Advisory team.

Job Responsibilities

• Conduct independent product compliance review throughout the product development cycle as well as post-sales monitoring, including but not limited to ensure the product design meets all applicable regulatory requirements and “Treat Customer Fairly” principle, review the relevant sales and marketing materials as well as the training materials; (iii) product promotion campaign; (iv) marketing campaign, etc.
• Provide advice on product and marketing initiatives
• Provide support on projects and new business initiatives and coordination for regulatory change implementation as and when required
• Provide administrative support in the maintenance of Regulatory Matrix and the Regulatory Compliance System
  
  
  

Job Requirements

• Degree holder in related disciplines
• Have over 8 years working experience with at least 5 years in product compliance area in life insurance industry
• Excellent knowledge of (i) laws and regulatory requirements applicable to Life insurance products, and (ii) Life insurance operations (including life administration and agency administration), e.g. underwriting, policy administration, claims, and sales channels (covering agency, bancassurance and broker channels)
• Demonstrate ability on adoption of agile way of working, flexible to change, and ability to make independent, sound and informed decisions
• Excellent command of English and Chinese (written and spoken)
  
  
  

Prudential is an equal opportunity employer. We provide equality of opportunity of benefits for all who apply and who perform work for our organisation irrespective of sex, race, age, ethnic origin, educational, social and cultural background, marital status, pregnancy and maternity, religion or belief, disability or part-time / fixed-term work, or any other status protected by applicable law. We encourage the same standards from our recruitment and third-party suppliers taking into account the context of grade, job and location. We also allow for reasonable adjustments to support people with individual physical or mental health requirements.

Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Finance and Sales

Referrals increase your chances of interviewing at Prudential Hong Kong by 2x

Get notified about new Regulatory Compliance Manager jobs in Hong Kong, Hong Kong SAR .

Senior Regulatory Compliance Manager (Private Banking) Senior Manager, Global Compliance & Ethics (Bangkok Based, Relocation Provided) Senior Compliance Manager-Consumer Protection FSO - Risk Consulting - NFR (Regulatory Compliance) - Manager or above - HK (Senior) Business Compliance Manager (Corporate Business Compliance Division) Senior Manager, FinCrime Compliance (Bangkok Based, Relocation Provided) Compliance Manager / Senior Manager - Life Insurer Senior Manager & Team Head / Senior Manager – Business & Compliance Department under eMPF Company Assistant Manager – Facilities Management and Projects (13-month Contract) Distribution Operation & Administration, Specialist (Asst Manager Level) Senior Technology Risk Manager (Overseas Branch) Senior Manager – Leasing & Tenancy Compliance Technology Risk Management – Manager (Overseas Branch)

Hong Kong, Hong Kong SAR
$36,000.00
-
$70,000.00
3 weeks ago

Assistant Manager/ Manager – Regulatory & Compliance Senior Officer, Corporate Governance (Ref: CIA188/25, 10508) HEAD OF COMPLIANCE | REGIONAL BANK | INTERNATIONAL EXPANSION (Assistant / Deputy) Compliance Manager (Compliance Review)

Central & Western District, Hong Kong SAR 4 weeks ago

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Manager, Regulatory Compliance & Advisory Manager, Regulatory Compliance & Advisory

3 days ago Be among the first 25 applicants

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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 the Director, Advisory & Regulatory Compliance in discharging his duties and ensure compliance with relevant law, regulations and Group policies. Providing advice on products and marketing campaign/promotions, liaison for product and marketing materials’ approval by Compliance, as well as providing advisory support for Product and Marketing teams. The role will also provide support on projects and new business initiatives as well as regulatory change implementation, as well as administrative support to the Compliance Advisory team.
Job Responsibilities

• Conduct independent product compliance review throughout the product development cycle as well as post-sales monitoring, including but not limited to ensure the product design meets all applicable regulatory requirements and “Treat Customer Fairly” principle, review the relevant sales and marketing materials as well as the training materials; (iii) product promotion campaign; (iv) marketing campaign, etc.
• Provide advice on product and marketing initiatives
• Provide support on projects and new business initiatives and coordination for regulatory change implementation as and when required
• Provide administrative support in the maintenance of Regulatory Matrix and the Regulatory Compliance System
  

Job Requirements

• Degree holder in related disciplines
• Have over 8 years working experience with at least 5 years in product compliance area in life insurance industry
• Excellent knowledge of (i) laws and regulatory requirements applicable to Life insurance products, and (ii) Life insurance operations (including life administration and agency administration), e.g. underwriting, policy administration, claims, and sales channels (covering agency, bancassurance and broker channels)
• Demonstrate ability on adoption of agile way of working, flexible to change, and ability to make independent, sound and informed decisions
• Excellent command of English and Chinese (written and spoken)
  

Prudential is an equal opportunity employer. We provide equality of opportunity of benefits for all who apply and who perform work for our organisation irrespective of sex, race, age, ethnic origin, educational, social and cultural background, marital status, pregnancy and maternity, religion or belief, disability or part-time / fixed-term work, or any other status protected by applicable law. We encourage the same standards from our recruitment and third-party suppliers taking into account the context of grade, job and location. We also allow for reasonable adjustments to support people with individual physical or mental health requirements. Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Finance and Sales

Referrals increase your chances of interviewing at Prudential Hong Kong by 2x

Get notified about new Regulatory Compliance Manager jobs in Hong Kong, Hong Kong SAR .

Senior Regulatory Compliance Manager (Private Banking) Senior Manager, Global Compliance & Ethics (Bangkok Based, Relocation Provided) Senior Compliance Manager-Consumer Protection FSO - Risk Consulting - NFR (Regulatory Compliance) - Manager or above - HK (Senior) Business Compliance Manager (Corporate Business Compliance Division) Senior Manager, FinCrime Compliance (Bangkok Based, Relocation Provided) Compliance Manager / Senior Manager - Life Insurer Senior Manager & Team Head / Senior Manager – Business & Compliance Department under eMPF Company Assistant Manager – Facilities Management and Projects (13-month Contract) Distribution Operation & Administration, Specialist (Asst Manager Level) Senior Technology Risk Manager (Overseas Branch) Senior Manager – Leasing & Tenancy Compliance Technology Risk Management – Manager (Overseas Branch)

Hong Kong, Hong Kong SAR
$36,000.00
-
$70,000.00
3 weeks ago

Assistant Manager/ Manager – Regulatory & Compliance Senior Officer, Corporate Governance (Ref: CIA188/25, 10508) HEAD OF COMPLIANCE | REGIONAL BANK | INTERNATIONAL EXPANSION (Assistant / Deputy) Compliance Manager (Compliance Review)

Central & Western District, Hong Kong SAR 4 weeks ago

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Senior Compliance Manager, Equities Compliance, Compliance

Join to apply for the Senior Compliance Manager, Equities Compliance, Compliance role at CLSA .

This senior Compliance position is part of the Equities Compliance team reporting into the Head of Equities Compliance. The team provides compliance coverage to CSI Institutional Equities (Sales and Trading) Business and the Equities Derivatives Department.

Key Areas of Responsibilities

1. Advisory – Provide advice on regulatory interpretation and compliance issues in the coverage area.
2. New business initiatives – Review and provide input to new business and infrastructure initiatives from a regulatory and best practice perspective.
3. Compliance policies and procedures – Review and update compliance procedures as necessary. Develop new procedures considering regulatory or business changes.
4. Reviews and monitoring – Guide team members in conducting compliance monitoring to ensure ongoing compliance with key regulations.
5. Regulatory enquiry – Handle regulatory inquiries and manage relationships with regulators.
6. Training – Deliver compliance training to business units.

Requirements

• Master's degree or equivalent, preferably in business, accounting, or law.
• Minimum of 10 years relevant experience in compliance or internal audit within financial services, or with a securities exchange or regulator.
• Deep knowledge of Hong Kong regulatory and compliance requirements.
• Strong understanding of cash equities and equities derivatives businesses.
• Excellent analytical skills, detail-oriented.
• Effective communication skills; fluency in English, Cantonese, and Mandarin (advantageous).
• Team-oriented, dependable, self-motivated, with a strong ownership mentality.

Seniority level

• Director

Employment type

• Full-time

Job function

• Finance

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Senior Compliance Manager, Equities Compliance, Compliance

Join to apply for the Senior Compliance Manager, Equities Compliance, Compliance role at CLSA .

This senior Compliance position is part of the Equities Compliance team reporting into the Head of Equities Compliance. The team provides compliance coverage to CSI Institutional Equities (Sales and Trading) Business and the Equities Derivatives Department.

Key Areas of Responsibilities

• Advisory – Provide advice on regulatory interpretation and compliance issues in the coverage area.
• New business initiatives – Review and provide input to new business and infrastructure initiatives from a regulatory and best practice perspective.
• Compliance policies and procedures – Review and update compliance procedures as necessary. Develop new procedures considering regulatory or business changes.
• Reviews and monitoring – Guide team members in conducting compliance monitoring to ensure ongoing compliance with key regulations.
• Regulatory enquiry – Handle regulatory inquiries and manage relationships with regulators.
• Training – Deliver compliance training to business units.

Requirements

• Master's degree or equivalent, preferably in business, accounting, or law.
• Minimum of 10 years relevant experience in compliance or internal audit within financial services, or with a securities exchange or regulator.
• Deep knowledge of Hong Kong regulatory and compliance requirements.
• Strong understanding of cash equities and equities derivatives businesses.
• Excellent analytical skills, detail-oriented.
• Effective communication skills; fluency in English, Cantonese, and Mandarin (advantageous).
• Team-oriented, dependable, self-motivated, with a strong ownership mentality.

Seniority level

• Director

Employment type

• Full-time

Job function

• Finance

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Join to apply for the Assistant Compliance Manager, Compliance role at CLSA

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Join to apply for the Assistant Compliance Manager, Compliance role at CLSA

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The role involves supporting the day to day workflow of the Control Room. All business lines communicate directly with the Global Control Room to provide timely updates on transactions. Control Room will participate in reviewing, maintaining and providing guidance on transactions, consistent with the firm’s policies and procedures, including information barriers and confidentiality, conflicts of interest, as well as research and gatekeeper policies. CLSA Control Room at the same time covers also research compliance function which provides business advisory and training to CLSA Research which has offices globally in 13 jurisdictions.

Key Areas of Responsibilities

• Maintain firm’s Watch and Restricted Lists.
• Pre-clear transactions from a conflict clearance and conflict management perspective, and escalating as necessary.
• Advise and provide guidance to global research activities.
• Manage and advise IPO pre-deal process.
• Manage Chinese Wall policy and procedures, including executing wall crossings where appropriate.
• Advise Personal Account Dealing requests when Watchlist/Restricted List is of concern.
• Maintain and update transaction flows and timetables in deal management system.
• Review of Equity Research Reports and any research publications against reputational and regulatory issues.
• Control and advise communication between Research and Investment Banking departments to minimize the risk of unauthorized dissemination of material non-public information and to protect the independence of Research analysts.
• Maintain and update research disclosures.
• Ensure control standards and monitoring are developed, maintained and completed in a timely manner.
• Provide relevant compliance control room input on global Chinese Wall and research related policies.
• Support information barrier surveillance functions including daily review, alerts and breach investigation
• Work closely with the Control Room in Beijing and Compliance Officers in all jurisdictions and for all products/specialization, including supporting regional offices on control room related matters.
• Provide Control Room and Research Compliance training as required.

Requirements

• Degree holder.
• Have a good understanding of financial markets, product business areas, particularly Research.
• Relevant Control Room and/or Research Compliance experience (3-5 years).
• Strong analytical skill, detail-oriented and project management skills.
• Able to identify and escalate operational and regulatory risk.
• Be able to utilize their intellect and exercise good judgment in making rational decisions while under pressure.
• Be able to communicate clearly and effectively in a professional, diplomatic manner.
• Able to build and to develop strong long-term relationships with colleagues, all levels of internal clients, including investment banking, research, and other stakeholders.
• A good command of English and Chinese is required (both in writing and spoken; for Chinese it would be both Cantonese and Putonghua, and both traditional and simplified Chinese).

Seniority level

• Seniority level Associate

Employment type

• Employment type Full-time

Job function

• Job function Finance

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