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 materialsAssist in developing and enhancing review standards and requirements to improve consistency and quality for all relevant reviewsReview 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 defenceExecutepliance reviews3. 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 areasEnsure the in-scope regulatory correspondence are handled in accordance with relevant internal protocol sand escalate to management team for any key enquiry ormunication with regulators4. 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 requirementsProvidepliance advice to the first line and conduct assurance program to ensure relevant Group standards and regulatory requirements areplied with5. Other tasks (10%)
Manage and support withpliance reporting and review on Sales & Productpliance areasAd hoc tasks assigned by Head of Sales and Productpliance, , risk assessment paper review, projects, back-up for other team membersMinimum 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 controlsProfessional qualification inpliance, Legal, Internal Audit or related disciplines is preferredRegulatorypliance experience in insurance or banking industry is preferredExperience with regulators is an advantageIn-depth understanding of insurance business is preferredGood interpersonal andmunication skills and self-motivatedExcellent written and spokenmunication skills in English and ChineseIndependent and be able to work under pressureBe organized, detail-oriented and with good problem solving skillsHigh level of integrity and take ownership and accountability of resultsOthers :
You are required to obtain relevant licence if your job involves in regulated activitiesBuild a career with us as we help our customers and themunity live Healthier, Longer, Better Lives.
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Job ID JR-58479
