assistant manager / manager - agency compliance in Kwun Tong

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job details

kwun tong
banking & financial services
job type
reference number
charles lai, randstad hong kong
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job description

Position Objectives:

To support the Head of Compliance to ensure that our client operate in accordance with the Group policies and guidelines as well as local regulatory requirements in agency compliance area and towards this end, driving and overseeing implementation of agency compliance framework.


To assist the Team Head of Agency Compliance, Training and Communication in designing and implementing the agency compliance framework and programs:

Monitoring and Reporting (30%)

  • Support and conduct the monitoring process agents’ behavior (e.g. Early Warning system, predictive modelling, and welcome call results). Implement second-line monitoring program through review of key risks indicators and the preparation of Sales Compliance Dashboard to detect market misconduct trends
  • Support and coordinate the investigation process and access root cause to address control failures
  • Conduct and manage investigation when necessary

    Reporting and Escalation (30%)
  • Escalate key risks and actual/potential non-compliance incidents to the Head of Compliance and ensure incidents are managed effectively. Monitor implementation of corrective actions to remediate any identified deficiencies
  • Ensure timely and quality reporting to Group Compliance on regular basis with relevance to sales compliance framework
  • Liaise with regulators and law enforcement agencies when necessary

    Business Engagement (20%)
  • Proactively engage with business units including Agency Business Development Department (ABDD) (Chief Agency Officer, Director of Agency) and Operations and provide advice/guidance to mitigate key compliance risks. Strengthen compliance engagement with Distribution Leaders to educate and increase awareness of regulatory developments and ethics/compliance risks
  • Proactively monitoring relevant internal developments and regulatory & industry developments and initiating necessary action
  • Provide prompt advice to the business units as and when appropriate

    Training and Engagement (10%)
  • Work with Business Training and Development Department (BTDD) to embed training on compliance risks subjects within agency training framework/curriculum. Monitor implementation of an effective compliance training curriculum with support from Compliance Training Manager
  • Implement robust sales training and awareness program to enhance the compliance awareness, culture of ethics and compliance initiatives among the sales forces with support from Compliance Training Manager

    Risk Management (10%)
  • Support to review and maintain an ongoing basis, local polices and guidelines and agency compliance risk assessment matrix to ensure compliance with higher of AIA Group requirements or local regulatory requirements
  • Facilitate implementation of an effective market conduct framework including overseeing the compliance with the framework

  • University graduate preferably in Accounting, Finance, Law, Business or other relevant disciplines
  • A minimum of 5 years relevant working experience in financial services industry. Experience with legal, compliance, risk management, financial services regulators or law enforcement authorities would be an advantage
  • Highly self-disciplined and energetic with strong organizational and communication skills
  • Independent and be able to work under pressure
  • Good written and spoken communication skills in English and Cantonese
  • High level of integrity and tale ownership and accountability of results