Job ref no.: Compliance
Principal Trust Company (Asia) Limited

Head of Compliance

Principal Trust Company (Asia) Limited

  • 5-day week
  • 13-month pay
  • Dental plan
  • Discretionary bonus
  • Insurance plan
  • Medical plan

To provide sound and timely compliance advice and services to the Company; to ensure corporate affairs are conducted within the framework of applicable laws and regulations, internal policies and procedures and international best practices.

Role Description :

  • Lead, manage and deliver a robust proactive compliance function supporting PI Hong Kong operations in accordance with Principal International’s compliance framework.
  • Lead and manage an effective high performing compliance team by mentoring, training, and providing opportunities for growth and development.
  • Provide timely compliance advisory and regulatory support for retirement and unit trust products including but not limited in the area of regulatory requirement, operational effectiveness and control.
  • Drive and foster close relationships with regulators such as MPF Authority, SFC, Insurance Authority to establish frequent dialogue on the development of industry practice, potential disruptive forces, customer expectation as well as practical alignment with regulatory requirement.
  • Partnering with business and proactively work with relevant regulators in handling (i) application to regulators for products to be approved/authorized for sale in Hong Kong; (ii) application to regulators for changes to products and the constitutive documents and/or marketing documents and materials.; (iii) licensing for staff on respective regulatory requirement.
  • Develop and lead change management/education and training of key business stakeholders and employees to create a strong culture of compliance awareness and capabilities with support from Principal International’s Compliance team in DSM.
  • Keep abreast of regulatory updates in the securities, insurance and MPF industries and other changes in laws and regulations that might impact the company’s business. Advise on the appropriate actions need to be taken.
  • Appoint as the Key Person and/or Manager-in-charge as per regulatory requirement.
  • Perform other job related duties or special projects as required.


  • Bachelor degree in Business Management or Legal or other related disciplines
  • At least 10 years’ experience in compliance in the financial services industry and 5 years’ team management experience.
  • Experience in the MPF industry is an advantage. Good understanding of regulatory requirement impacting the industry such as SFC, MPF, Insurance Authority, rules and regulations…etc.
  • Experience includes knowledge of operations, investment products, finance, and business will be a plus.
  • Attentive to details and good problem solving skills, self-motivate, well-organized, able to work independently and work under pressure and tight deadlines
  • Strong interpersonal and communication skills and ability to interact with all levels in the company
  • Proficiency in English and Chinese (written and spoken), Mandarin is a plus.

Please apply in confidence with full resume, current and expected salary, date of availability and email to [our mailbox through CTgoodjobs Apply Now ]

We are an equal opportunity employer and welcome applications from all qualified candidates. All information received will be kept in strict confidentiality and for recruitment purpose only.

Only shortlisted candidates will be notified.

More job information
Job ref no. Compliance (CT3113943-01#0095)
  • N/A
Job Function
  • Kwun Tong
Employment Term
  • Permanent
  • Full-time
  • 10 years - 15 years
Career Level
  • Senior management level
  • Degree