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Sales & Product Compliance, Senior Principal

Sales & Product Compliance, Senior Principal

AIA International Limited.Hong Kong
9 days ago
Job description

Responsibilities

1. Assist in the maintenance, development and oversight of the Sales and Productpliance Framework (40%)

  • Develop controls and monitoring framework to identify, oversee, and mitigate sales and productpliance risk, including supervision and oversight of all distribution channels
  • Engage key stakeholders for the execution of the sales and productpliance framework
  • Review the effectiveness of the sales and productpliance framework for the management and mitigation ofpliance risk, and enhancing the framework where required
  • Design, maintain, and implement the sales and productpliance program

2. Review of Product and Marketing materials (20%)

  • Review and advise on product and marketing materials
  • Assist in developing and enhancing review standards and requirements to improve consistency and quality for all relevant reviews
  • Review and advise on sales and product marketing materials across all types of products, services and distribution channels.
  • Identify systemic issues on product and marketing materials and initiate necessary actions to enhance the quality, while taking proactive steps to embed the knowledge in the first line of defence
  • Executepliance reviews
  • 3. Review and advise onmunications with regulators (20%)

  • Review written correspondence from or to regulators includingplaints referred by regulators in respect of sales and productpliance risk areas
  • Ensure the in-scope regulatory correspondence are handled in accordance with relevant internal protocol sand escalate to management team for any key enquiry ormunication with regulators
  • 4. Oversee the implementation of sales and productpliance-related Group standards and regulatory requirements (10%)

  • Design and execute an oversight program for the implementation andpliance with sales and productpliance related Group standards and regulatory requirements
  • Providepliance advice to the first line and conduct assurance program to ensure relevant Group standards and regulatory requirements areplied with
  • 5. Other tasks (10%)

  • Manage and support withpliance reporting and review on Sales & Productpliance areas
  • Ad hoc tasks assigned by Head of Sales and Productpliance, , risk assessment paper review, projects, back-up for other team members
  • Minimum Job Requirements :

  • Bachelor's degree in Accounting, Finance, Law or Business with a minimum of 15 years solid working experience in the financial services industry focused onpliance, legal and / or internal controls
  • Professional qualification inpliance, Legal, Internal Audit or related disciplines is preferred
  • Regulatorypliance experience in insurance or banking industry is preferred
  • Experience with regulators is an advantage
  • In-depth understanding of insurance business is preferred
  • Good interpersonal andmunication skills and self-motivated
  • Excellent written and spokenmunication skills in English and Chinese
  • Independent and be able to work under pressure
  • Be organized, detail-oriented and with good problem solving skills
  • High level of integrity and take ownership and accountability of results
  • Others :

  • You are required to obtain relevant licence if your job involves in regulated activities
  • Build a career with us as we help our customers and themunity live Healthier, Longer, Better Lives.

    You must provide all requested information, including Personal Data, to be considered for this career opportunity. Failure to provide such information may influence the processing and oue of your application. You are responsible for ensuring that the information you submit is accurate and up-to-date.

    Job ID JR-58479

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    Compliance Compliance • Hong Kong

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