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Compliance Manager

Aviva Life Insurance Company Limited

  • Company Industries:Insurance / Pension Funding

Job Information

  • Post Date:2015-03-17
  • Career Level:Senior
  • Location:Tai Koo
  • Yr(s) of Exp:5 years
  • Qualification:Non-Degree Tertiary
  • Salary:

    Responsibilities:

    • Acting as compliance manager for broker channel’s business portfolios to provide one stop solutions in relation to compliance issues arising from the business portfolios.
    • Keep up to date on HK regulatory framework and ensure that material changes to the relevant regulations or changes to compliance roles, responsibilities and structures are reported to General Counsel
    • Ensure that any material breach of regulation, any material enquiry or investigation by regulator, any penalties or sanctions imposed by regulators, are reported to General Counsel and Group Compliance.
    • Ensure compliance to regulations (using risk based approach) by reviewing sales process, initiatives and incentive schemes for broker channel, operational workflow of service center.
    • Review cases required enhanced due diligence for providing compliance clearance of customer on-boarding procedures at service center.

    Requirements:

    • Tertiary qualification, legal education is a definite asset
    • Professional insurance qualification, SFC license qualification is an advantage
    • Proficient in life insurance business, insurance brokers’ operations, laws and regulations and AML requirements.
    • Good knowledge of compliance regulations, Hong Kong Laws and Regulations.
    • Understand needs based selling, fact find process, product recommendation, training & competency.
    • Good negotiation and inter-personal skills
    • At least 5 years’ experience in financial services industry with at least 3 years in Compliance role and previous working experience with reputable insurance brokers in Hong Kong preferred.


    Interested parties please send full resume, expected salary and contact telephone number in WORD FORMAT via e-mail to careers_hk@aviva-asia.com

    Personal data collected will be used for recruitment purpose only and all applications will be treated in strict confidence. Unsuccessful applications will be destroyed after 6 months.

Company Info

Blue, trade name of Aviva Life Insurance Company Limited

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