Assistant Manager / Senior Officer, Distribution and Sales Compliance Assistant Manager / Senior Officer, Distribution  …

Wealth Dimensions Consultancy Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 10 Jun 19
Competitive
Wealth Dimensions Consultancy Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 10 Jun 19
Competitive
Our client is leading Insurance Company in Hong Kong, and now looking for the High Calibre candidates to join their position of Assistant Manager / Senior Officer, Distribution and Sales Compliance.

Responsibilities

  • 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

Requirements

  • 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) 
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