The Distribution Compliance Manager will be responsible for overseeing and enhancing sales practices across all distribution channels, ensuring adherence to regulatory standards. This role involves developing compliance systems, creating training materials, providing expert guidance, and conducting field reviews to maintain the integrity of sales practices.
The incumbent will be reporting to Department head directly.
- Provide compliance guidance and advice to business units, helping them interpret and apply regulatory requirements in their operations.
- Identify, assess, and mitigate compliance risks within the business unit, ensuring proactive risk management.
- Assist in the development and implementation of compliance policies, procedures and controls tailored to the business unit’s needs.
- Deliver compliance training to staff within the business unit to foster a culture of compliance.
- Act as a liaison between the business unit and the second-line compliance team, escalating issues and providing regular updates on compliance performance.
- Support the business unit in preparing for internal and external audits, ensuring all compliance-related documentation is accurate and complete.
- Bachelor’s degree in Business, Finance, or a related field.
- Proven experience in compliance, risk management, or distribution channel management.
- Strong understanding of regulatory requirements in insurance
- Excellent communication, analytical and problem solving
- Ability to analyze and resolve compliance issues effectively.
- Superb command in written and verbal communication in English and Chinese.
- Candidate with less experience can be considered as Assistant Manager.
