Responsibilities

• Assist to monitor and enforce policies and procedures for different distribution channels
• Monitor relevant indicators to identify potential areas of vulnerabilities and sales conduct issues
• Review the compliance controls on end-to-end sales process and relevant operations workflow, and provide recommendation for improvement.
• Ensure sales process and workflow are complied with regulatory requirements
• To provide advice, consultancy and training to distribution teams regarding compliance issue, including but not limited to regulatory changes, sales misconduct, licensing issues, etc.
• Review and assess sales intermediary related complaint, and propose any disciplinary action(s) or follow up action(s)
• Oversee the distribution channel’s observance of the relevant rules and regulations in the sales process and licensing process
• Any ad hoc assignments as assigned

Requirements

• Degree holder in Law, Accounting, Finance or other related disciplines
• A minimum of 3 years related working experience, life insurance working experience is preferred
• Solid experience in distribution compliance related to monitoring and investigation. Prior exposure in AML is an advantage.
• Good knowledge of the laws, rules and regulations relating to insurance industry
• Excellent communication, interpersonal and influencing skills, with a strong sense of responsibility
• Self-motivated and pro-active team player with strong problem solving skills
• Excellent command of written and spoken English and Chinese (including Putonghua) 

Application

Interested parties please send a detailed resume, stating current and expected salary to Human Resources Department.

Information supplied will be treated in strict confidence and used in accordance with the Personal Data (Privacy) Ordinance.  Applicants not invited for interview within 6 weeks may consider their applications unsuccessful.