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Assistant Manager / Senior Officer, Distribution and Sales Compliance
Wealth Dimensions Consultancy Limited
May 11, 2019
Assist the Head of Legal and Compliance in ensuring that the product, marketing materials and sales flow are in compliance with all laws, regulations, procedures and internal policies, with a focus on Hong Kong insurance related regulations.
Design and implement policies and procedures
Perform monitoring function to control end-to-end sales process and operations workflow
Ensure sales process and workflow are complied with regulatory requirements
To provide advice to distribution teams regarding the compliance practice
Responsible for ensuring all colleagues in the distribution teams are properly registered or licensed
Oversee the distribution channel's observance of the relevant rules and regulations in the sales process
Assist business to implement the regulatory changes in a timely manner
Perform compliance assessments that are designed to identify and assess regulatory, compliance and business risks to which distribution channels are exposed
Any ad hoc assignments as assigned
Degree holder in Law, Accounting, Finance or related disciplines
3 years or more related working experience, life insurance working experience is preferred
Solid experience in distribution compliance related to training and communication, investigation, dealings with regulators.
Knowledge on life insurance and other insurance products
Excellent communication, interpersonal and influencing skills
Self-motivated and pro-active team player with strong problem solving skills
High ethics with strong sense of responsibility
Excellent command of written and spoken English and Chinese (including Putonghua)
Internal Number: 5854522
About Wealth Dimensions Consultancy Limited
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