Due to our business growth, we invite high calibre talents joining the expanding team to grow with our business.

Role Description:

To provide direct support to Compliance Manager under the Legal & Compliance Department in performing compliance functions of the Company to ensure corporate activities are conducted within the framework of applicable laws and regulations, internal policies and procedures and international best practices.

• Review marketing and communication materials of mutual fund and pension products to ensure compliance with regulatory requirements and handle regulatory approval timely and efficiently
• Provide compliance advice on sales and marketing projects and other initiatives
• Regular compliance checking on all communication pieces to ensure materials
• Collaborate with various business units to ensure sales processes are in compliance with internal guidelines and regulatory requirements
• Participate in conducting due diligence/audit on service providers
• Review KYC on-boarding procedures and support the carrying out AML/CFT and/or sanctions related matters and compliance initiatives
• Handle licensing matters, licensee's CPD/CPT fulfillment and annual return
• Design and conduct compliance training
• Participate in formulating and updating compliance plan, manuals, policies and procedures
• Prepare regular and ad-hoc compliance reports to Management and Head Office
• Coordinate regulators’ enquiry/survey/onsite examinations and assist internal and/or external auditors on compliance reviews

Requirements:

• University degree in Accounting, Law, Business or other related disciplines or equivalent
• Minimum 3 years of relevant experience in the financial services industry, preferably in the compliance field with experience in working with frontline business units
• Having experience in the MPF industry and knowledge of the SFC and MPF codes, rules and regulations
• Proficiency in English and Chinese (written and spoken) and Chinese typing skill is required
• Strong organizational and analytical skills as well as willing to communicate with different level of people
• Meticulous and efficient
• Self-starter and able to work independently

Interested parties, please email your resume with your current and expected salary to hr_hk@principal.com .

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

Principal Financial Group® (Nasdaq: PFG) is a global financial company with over 18,000 employees^ passionate about improving the wealth and well-being of people and businesses. In business for more than 140 years, we’re helping more than 50 million customers^ plan, insure, invest, and retire, while working to improve our planet, support the communities where we do business, and build a diverse, inclusive workforce.

In Hong Kong for over two decades, we’re a provider of investment and retirement solutions covering pension schemes & products as well as mutual funds. We combine our capabilities in global investment management, leading retirement and asset allocation expertise to provide people and companies the financial tools, resources and information they need to achieve greater financial security and live their best life.  Our investment products are well recognized in the asset management industry for many years.  We’ve been awarded “Good MPF Employer Award” for consecutive years by MPFA for our dedication and continuous effort in enhancing better retirement protection for employees.  As a socially responsible employer, we’ve gained the “Caring Company” recognition for over 10 years to recognize our commitment in Caring for the Community, Employees and Environment.

If you are looking for a place where you are empowered to contribute and grow continuously, here is the opportunity - we are looking for high caliber talents to join our Hong Kong operation and grow with us.  To find out more, please visit us at www.principal.com.hk

^ As of December 31, 2021