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.
- 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)