Conduct Compliance Review, Sales Compliance Review, Business Operation reviews and regular monitoring on sales activities of sales force so as to identify, manage, minimize and mitigate compliance risks, and to ensure compliance with regulations, codes, Group and PCA policies.
- Regularly monitor sales activities to ensure compliance with regulations and codes
- Formulate the annual risk-based compliance monitoring plan and carry out compliance review according to the compliance plan
- Co-ordinate with relevant parties for internal control measure enhancements, in order to ensure compliance to the minimum PCA Compliance Standards and improve the compliance standard of the company
- Collect relevant data or information from various departments for compilation of management reports. Collate and analyze the data or information obtained and present it in prescribed reporting format for submission to management and PCA. Review draft reports produced by subordinate.
- Collect relevant data or information from various departments for compilation of management reports. Collate and analyse the data or information obtained and present it in prescribed reporting format for submission to management and PCA. Review draft reports produced by subordinate.
- Represent compliance in special projects affecting the compliance function and handle ad hoc compliance-related matter as assigned by the management
- Assist in compliance risk assessment tasks, including annual TRAC exercise and all other related matters
- Monitor the performance of subordinate, conduct regular coaching and provide guidance as and when necessary
- Degree holder in Accounting or Business Administration; CPA qualification is an advantage
- Minimum of 4 years’ experience in compliance/audit
- Fluent in both spoken and written English and Chinese
- Good knowledge in life insurance products
- Computer literate, including Microsoft Office, Word, Excel and Powerpoint