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Reviews and assesses complaint investigation reports; proposes any disciplinary actions and / or follow up actions
Monitors and enforces distribution compliance policy for business units and provides compliance advice and consultation services to Hong Kong Branch
Works with business/ support units and serves as a point of contact for compliance matters concerning Hong Kong Branch; manages relevant internal disciplinary policy and guidelines
Identifies potential areas of distribution compliance vulnerability and risk
Develops/ implements corrective action plans for resolution of problematic issues on distribution compliance, and provides general guidance and compliance advice on how to avoid or deal with similar situations for operations/support functions
Provides ad hoc duties when required or as instructed by Management of Hong Kong Branch
Holder of undergraduate degree in law, risk management, accounting, audit or other related disciplines
A minimum of 8 years compliance experience in financial institutions and /or life insurance companies is preferred. Candidate with a minimum of 5 years experience will be considered as Compliance Manager (Distribution); a minimum of 3 years experience will be considered as Assistant Compliance Manager (Distribution)
Familiarity with HKIA, HKFI and MPFA guidelines, Hong Kong insurance law and related regulations
Commercial awareness and ability to view situations from a business perspective
Effective communication and presentation skills
Fluency in English and Cantonese, ability to read and write in professional Chinese and English, and ability to speak Mandarin would be an advantage