Key Responsibilities:

1. Develop and enforce compliance policies and procedures for onboarding new brokerages, ensuring alignment with regulatory requirements.
2. Monitor new business activities from brokerages to ensure compliance with internal policies and regulatory standards.
3. Provide guidance and training to brokerage staff on sales conduct requirements and regulatory expectations.
4. Investigate and address complaints concerning brokerages and brokers in a timely and thorough manner.
5. Collaborate with internal teams to streamline onboarding processes and enhance compliance practices.
6. Manage responses to regulatory inquiries and audits related to brokerage onboarding and sales conduct.
7. Conduct regular reviews and assessments to identify and rectify any compliance gaps or issues.

Qualifications:

• Bachelor's degree in Business, Finance, Law, or related field.
• 5+ years of experience in brokerage compliance, with a focus on onboarding processes and sales conduct.
• Comprehensive knowledge of insurance regulations and compliance requirements.
• Proficient in English and Chinese