1. Assist the Senior Manager, Ethics & Compliance to work with business units, regional and corporate Ethics and Compliance Teams and other risk control units to maintain a corporate culture based on integrity and customer trust through:
a. Providing business compliant solution and support to all Sales & Distribution Channels including Agency, Broker, Direct Marketing, Strategic Partnership and Digital and monitor intermediaries’ sales practice to ensure compliance risks are effectively mitigated
b. Providing compliance review and recommendation to business units via different compliance programs. Assisting in the development and implementation of compliance control:
- Sales Materials Review
- Training Materials Review
- Intermediaries’ Sales Practice Monitoring & Controls
- Product Approval
- Customer Complaint Oversight
- Privacy Protection Program
- Compliance Policies Review & Implementation
- Anti-money Laundering related matters
- Foreign Account Tax Compliance Act implementation and ongoing monitoring
- Regulatory requirement update & implementation
c. Working with the team to ensure change of laws or regulations are tracked and relevant policies and procedures are properly and timely implemented to the affected business units.
d. Conducting Compliance training and communication programs as a continuous effort of building and strengthening compliance awareness of all staff.
2. Preparing regular metrics and management reports to facilitate on-going control monitoring by management and functional leaders.
3. Supporting Senior Manager, Ethics & Compliance in implementing ad hoc projects initiated by local management and /or driven by Regional & Corporate teams to support business growth.
4. Handling company’s and representatives’ licensing matters to ensure proper licensing with local regulators, survey and other ad hoc reports as requested by OCI, CPT monitoring.
1. University degree and have at least 5 years relevant working experience in compliance, audit or risk management in financial institution and/or life insurance operations and preferably professionally qualified as an accountant / auditor or lawyer.
2. Experience on dealing with regulators such as OCI, HKFI and SFC.
3. Confident to communicate effectively with business units.
4. Familiar with guidance notes, codes and requirements issued by OCI, HKFI and SFC, Anti-money Laundering Ordinance, Personal Data (Privacy) Ordinance and Insurance Companies Ordinance.
5. Analytical skills and problem solving ability.
6. An effective team player and proactively engaged work attitude.
7. Mature, independent, well organized and customer focused.
8. Good communications, presentation and report-writing skills.
- Anti Money Laundering (AML)
- Life Insurance
- Management Reporting
- Risk Management