Job ref no.: CT3111780-01#0804
Prudential Hong Kong Limited

Manager, Compliance

Prudential Hong Kong Limited

  • 5-day week
  • Insurance plan
  • Medical plan

Here at Prudential, we understand that success comes from visionaries like you. Your passion and diversity keep us at the forefront of innovation, which is why we are committed to helping you shape your future. We offer a range of career opportunities that span a dozen countries, each providing international perspectives and local reach. Across the broad scope of our operations, Prudential stands united in our dedication to providing protection – for our customers, our communities and our world.

This position is newly created to support ERM Compliance in tasks related to detection & prevention of financial crimes, sales malpractice and other fraud in the business. The incumbent will also support the team in other compliance tasks under the company’s anti-bribery & corruption program and other compliance projects. One of the interesting areas within compliance to work and develop in while having the opportunity to gain compliance knowledge across a wide range of products and distribution channels.

Job Responsibilities:

  • Investigation of customer complaints / non-customer complaints which are related to sales force :Conduct investigation with agent/sales staff; and agent’s/sales staff’s uplines for explanation and statement
  • Interview relevant parties for investigation purpose, where necessary
  • Liaise with all relevant parties on any findings
  • Provide fact summary including finding and recommendation for management review
  • Review draft reply letters Feedback sales forces’ / business lines’ concerns on company guidelines and procedures
  • Identify irregular complaint trends and provide compliance advice to strengthen internal controls and/or improve operating procedures
  • Maintain the non-customer complaint database
  • Maintain database for cases referred to ERM-COM other than customer complaints and non-customer complaints
  • Disciplinary action :Assist in setting Disciplinary Policy for sales channelAssist in ensuring that the disciplinary action on agency is recommended according to the prevailing disciplinary policyAssist in preparing reports to seek management approval on disciplinary actions on sales force
  • Ensure that the relevant sales channel have taken the agreed disciplinary actions in a timely manner
  • On-going monitoring related to financial crimes:Assist in designing and developing effective MIS for agent fraud detectionOn-going review of agent fraud detection MIS and conduct further investigation where necessary
  • Regular reporting on investigation for management reviewIdentify irregular trends and provide compliance advice to strengthen internal controls and/or improve operating procedures
  • Other financial crimes related regular monitoring (e.g. use of agent’s cheque)
  • Prepare management reports (e.g. relevant section in Monthly Compliance Report, reporting of significant cases to Compliance Committee, etc.)
  • Facilitate Anti-Bribery & Corruption related tasks:Assist in the investigation of suspected bribery and corruption cases reported to COM
  • Assist in designing effective means / platform for the on-going maintenance of the Gifts & Hospitality Register, with an aim to (i) facilitate users to report gifts and hospitality item to ERM-COM and (ii) develop regular report for review for detection of suspicious trend
  • Facilitate the on-going maintenance of the Gifts & Hospitality Register

Job Requirements:

  • Degree holder in Accounting or Business Administration
  • Certified Fraud Examiner is an advantage
  • Minimum of 4 years’ experience in compliance/audit
  • Work experience in law enforcement body is an advantage
  • Fluent in both spoken and written English and Chinese
  • Fluent in Mandarin
  • Good knowledge in life insurance products
  • Knowledge of Microsoft Office applications
  • Fluency in Cantonese and English
  • Mandarin skills advantageous

For other vacancies, please visit our website at

Please submit your application with present and expected salaries online.

To apply:

We offer an attractive remuneration package including 5-day work week and flexible benefits.

Data collected will be used for recruitment purpose only and will be kept for 12 months. Only short-listed candidates will be notified.

More job information
Job ref no. CT3111780-01#0804
  • N/A
Job Function
Employment Term
  • Permanent
  • Full-time
  • 4 years - 9 years
Career Level
  • Middle management level
  • Degree