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Mô Tả Công Việc
JOB PURPOSE:
This position is responsible for performing the implementation of Market Conduct programs across Sun Life Vietnam, including the collaboration with distributed channels (agency, full-time advisor (DeLaSól), corporate agency partners (Partnership Solutions)) and relevant stakeholders to set up appropriate controls and monitor to make sure that the Market Conduct risks are mitigated as well as improving distributor’s awareness on Market Conduct and Compliance policies. Support the expansion of Agency, DeLaSól, Partnership Solutions channels. Manage and review team’s performance related to identify Market Conduct issues, conduct the investigation of compliance incidents and reporting. Work effectively with others at all organizational levels to identify gaps, troubleshoot issues and recommend remediation plans for the business.
KEY ACCOUNTABILITIES:
• Develop, implement, and oversee the operating effectiveness of Market Conduct programs across Sun Life Vietnam, including the collaboration with the cross-functional teams such as distributed channels (agency, full-time advisor (DeLaSól), corporate agency partners (Partnership Solutions)) and relevant stakeholders to set up appropriate controls and monitor to make sure that the Market Conduct risks are mitigated as well as to detect, prevent and manage Market Conduct related risks that may affect the Company’s business operations and reputation.
• Manage and oversee the investigation team member to provide effective investigation services and provide advice to business to prevent & detect potential Market Conduct and Compliance incidents.
• Review and provide Compliance’s advice for 1st line operational processes and business initiatives
• Participate in pre-engagement due diligence and contracting process of new distribution partner(s).
• Adopt, localize the policies and operating guidelines issued by Enterprise Compliance; review, revise the local operating guidelines to reflect regulatory updates and business operation changes.
• Participate in the product development process, review and endorse new/revamped product package submitted to the regulators and related documents (including the product marketing and training materials).
• Perform reporting related to Market Conduct and Compliance to Regional Office, Risk Compliance Committee; and distribute quarterly distribution incidents to Sales Channel.
• Conduct compliance reviews/testing according to the compliance plan, collaborate with relevant stakeholders to ensure that the sales channels are aligned to and compliant with applicable regulations and regulatory requirements; collaborate with the business functions to adopt, localize the 1st line of defense monitoring & testing programs, as appropriate. Review and guide direct reports on testing and monitoring activities.
• Perform virtual, in-class training, sharing sessions to enhance compliance awareness and best practices for targeted groups. Review Compliance related training material to sales channel.
• Performs all tasks and projects that may be assigned by Chief Compliance Officer from time to time.
Xem toàn bộ Mô Tả Công Việc
This position is responsible for performing the implementation of Market Conduct programs across Sun Life Vietnam, including the collaboration with distributed channels (agency, full-time advisor (DeLaSól), corporate agency partners (Partnership Solutions)) and relevant stakeholders to set up appropriate controls and monitor to make sure that the Market Conduct risks are mitigated as well as improving distributor’s awareness on Market Conduct and Compliance policies. Support the expansion of Agency, DeLaSól, Partnership Solutions channels. Manage and review team’s performance related to identify Market Conduct issues, conduct the investigation of compliance incidents and reporting. Work effectively with others at all organizational levels to identify gaps, troubleshoot issues and recommend remediation plans for the business.
KEY ACCOUNTABILITIES:
• Develop, implement, and oversee the operating effectiveness of Market Conduct programs across Sun Life Vietnam, including the collaboration with the cross-functional teams such as distributed channels (agency, full-time advisor (DeLaSól), corporate agency partners (Partnership Solutions)) and relevant stakeholders to set up appropriate controls and monitor to make sure that the Market Conduct risks are mitigated as well as to detect, prevent and manage Market Conduct related risks that may affect the Company’s business operations and reputation.
• Manage and oversee the investigation team member to provide effective investigation services and provide advice to business to prevent & detect potential Market Conduct and Compliance incidents.
• Review and provide Compliance’s advice for 1st line operational processes and business initiatives
• Participate in pre-engagement due diligence and contracting process of new distribution partner(s).
• Adopt, localize the policies and operating guidelines issued by Enterprise Compliance; review, revise the local operating guidelines to reflect regulatory updates and business operation changes.
• Participate in the product development process, review and endorse new/revamped product package submitted to the regulators and related documents (including the product marketing and training materials).
• Perform reporting related to Market Conduct and Compliance to Regional Office, Risk Compliance Committee; and distribute quarterly distribution incidents to Sales Channel.
• Conduct compliance reviews/testing according to the compliance plan, collaborate with relevant stakeholders to ensure that the sales channels are aligned to and compliant with applicable regulations and regulatory requirements; collaborate with the business functions to adopt, localize the 1st line of defense monitoring & testing programs, as appropriate. Review and guide direct reports on testing and monitoring activities.
• Perform virtual, in-class training, sharing sessions to enhance compliance awareness and best practices for targeted groups. Review Compliance related training material to sales channel.
• Performs all tasks and projects that may be assigned by Chief Compliance Officer from time to time.
Yêu Cầu Công Việc
EDUCATION AND EXPERIENCE:
• University graduates, preferably majoring in Legal/insurance/accounting/audit and/or University of Public Security.
• LOMA certificate (FLMI/ALMI/AIRC) is preferred.
• Prior experiences (8 years) in Compliance or Legal or Risk management or investigative work functions in insurance, banking, finance, accounting, or audit is an advance. Experience in Agency/Distribution Compliance/Fraud Investigation is preferred.
PROFESSIONAL KNOWLEDGE AND SKILL:
• Strong knowledge of insurance distribution processes, products, and risks
• Excellent in investigation on agents/third parties and reporting writing skills.
• Excellent in Microsoft Word, Excel, PowerPoint, and Outlook.
• Fluent in written and spoken English.
• Familiar with data analysis methodology and relevant practical experience is a plus.
• Well digital knowledge is preferred.
• Communicates effectively to a wide variety of audiences at all organizational levels
• Positively leads or influences other team members to achieve team and individual goals.
• Inspires other team members to accept non-traditional ideas by leveraging effective new initiatives and overcome objections.
• Works effectively with others who have different perspectives, backgrounds and/or styles.
• University graduates, preferably majoring in Legal/insurance/accounting/audit and/or University of Public Security.
• LOMA certificate (FLMI/ALMI/AIRC) is preferred.
• Prior experiences (8 years) in Compliance or Legal or Risk management or investigative work functions in insurance, banking, finance, accounting, or audit is an advance. Experience in Agency/Distribution Compliance/Fraud Investigation is preferred.
PROFESSIONAL KNOWLEDGE AND SKILL:
• Strong knowledge of insurance distribution processes, products, and risks
• Excellent in investigation on agents/third parties and reporting writing skills.
• Excellent in Microsoft Word, Excel, PowerPoint, and Outlook.
• Fluent in written and spoken English.
• Familiar with data analysis methodology and relevant practical experience is a plus.
• Well digital knowledge is preferred.
• Communicates effectively to a wide variety of audiences at all organizational levels
• Positively leads or influences other team members to achieve team and individual goals.
• Inspires other team members to accept non-traditional ideas by leveraging effective new initiatives and overcome objections.
• Works effectively with others who have different perspectives, backgrounds and/or styles.
Địa Điểm Làm Việc
29th Floor, Vietcombank Tower, 5 Melinh Square, Ben Nghe Ward, District 1, HCMC
