Job ref no.: Compliance (CT3119322-01#0095)
Principal Insurance Company (Hong Kong) Limited

Senior Manager / Associate Director, Compliance

Principal Insurance Company (Hong Kong) Limited

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

The role will be reporting to the Chief Compliance Officer. The successful candidate will be a reliable professional who does not hesitate to speak their mind and stand by their decisions, even when it is challenging. S/he should be an excellent communicator, and well versed in our industry’s standards. We are looking for someone to join us in our commitment to operating in a legal and ethical manner while maintaining the highest standards of excellence in business and successfully achieving our objectives.


  • Reporting to and assist the Chief Compliance Officer to ensure the business to comply with applicable laws and regulations in relation to the Insurance Authority, SFC and MPFA by
    ◦Overseeing and advising compliance policies and practices;
    ◦Designing, implementing and reviewing compliance program and internal controls to identify, assess, report and mitigate compliance risks in a proactive manner;
    ◦Liaising with regulators and governmental bodies on regulatory and licensing issues;
    ◦Assisting management in conducting reviews on and handling enquiries about the areas that are being reviewed/investigated by regulators;
    ◦Formulating and conducting compliance training to staff; and
    ◦Keeping abreast of regulatory updates and provide compliance supports to relevant business units to accommodate the relevant regulatory changes in a timely and prudent manner.
  • Formulate and implement the AML/CTF Policy and Procedures to cope with the regulatory requirements, maintain and monitor the progress of relevant business units in identifying and closing the gaps between the AML/CTF regulatory requirements and the business practices.
  • Provide supports and perform other compliance related duties and special projects as required from time to time.


  • Degree holder in Law, Business, Finance, Accounting or related disciplines
  • Minimum 10 years of relevant compliance experience gained within insurance, securities and/or pension industry
  • Well-versed in IO, SFO, MPFSO, codes and other regulatory requirements, e.g. AML/CTF, FATCA and CRS.
  • Good leadership and an effective team leader
  • Good Analytical with problem-solving skills
  • Self-motivated, well-organized, able to work under pressure and multi-tasks with tight deadlines
  • Proficiency in both written and spoken English and Chinese
  • Candidates with more experience may be considered as Associate Director.

Please apply in confidence with full resume, current and expected salary, date of availability and quoting reference no. Compliance in the subject line 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 (CT3119322-01#0095)
  • N/A
Job Function
  • Kwun Tong
Employment Term
  • Permanent
  • Full-time
  • 10 years - 15 years
Career Level
  • Middle management level
  • Degree