Compliance Manager - Distribution
Location Hong Kong
Consultant Tony Wilkey
Date posted 20 September 2016
Robert Walters has partnered with a leading global insurer in a search for a Compliance Manager to support their distribution and front line of business. This person will advise and train front office staff on new regulations and ensure regulatory compliant business practices.
- Advising on new compliance changes and regulatory developments.
- Conducting investigations into regulatory misconduct and advising on the relevant legal/ regulatory breach and the appropriate disciplinary actions.
- Drafting and review correspondence to regulators on conduct related matters of intermediaries.
- Investigating fraud related issues and cases.
- Reviewing and drafting of compliance communication and training material to agents. Conducting IIA related training as necessary.
- Assisting in ad-hoc compliance related projects as required.
- Managing misconduct risks by providing solid and practical compliance advice
Experience & Qualifications Required:
- 8+ years of working experience, working in house legal and/or compliance field in insurance, pension industry or financial services sector
- Demonstrated experience in handling intermediary misconduct investigation and regulatory proceedings e.g. HKFI, OCI, MPFA, SFC or HKMA
- Expert compliance knowledge of insurance or pension industry
- More experienced candidate will be considered a more senior role
- Legal qualification is an advantage