Description

About the Role

Our client, a reputable insurance company, is seeking an experienced Compliance Manager to join its Compliance team. This role will focus on sales conduct and distribution compliance, providing regulatory advice and oversight to ensure business practices align with applicable insurance regulations, internal policies, and compliance standards.

Key Responsibilities

1. Provide compliance advisory support to distribution channels, sales teams, and business stakeholders on regulatory requirements, sales conduct, and distribution-related matters.
2. Monitor and assess regulatory developments, advising the business on emerging compliance obligations and implementation requirements.
3. Conduct compliance reviews, surveillance activities, and thematic assessments to identify regulatory risks and control gaps.
4. Investigate compliance incidents, breaches, and customer complaints, recommending corrective actions and remediation plans where necessary.
5. Support the development, review, and enhancement of compliance policies, procedures, and controls.
6. Deliver compliance training and awareness programmes to promote a strong culture of ethical conduct and regulatory compliance.
7. Prepare compliance reports and management information for senior management and relevant governance committees.
8. Liaise with regulators, internal audit, and other control functions on compliance-related matters as required.

Requirements

1. Bachelor's degree in Law, Finance, Business, Accounting, or a related discipline.
2. Minimum 5-8 years of compliance experience within the insurance industry, with a strong focus on sales conduct, distribution compliance, or regulatory compliance.
3. Sound knowledge of insurance regulatory requirements and conduct risk frameworks.
4. Experience providing compliance advice to front-line business and distribution teams.
5. Strong stakeholder management, communication, and influencing skills.
6. Ability to work independently and manage multiple priorities in a fast-paced environment.
7. Fluency in English and Chinese (Cantonese and/or Mandarin) is essential.