Compliance Officer

You will investigate and resolve suspected non-compliance cases/incidents related to agency in a timely manner.

You will develop and deliver compliance training programs and awareness materials to agency to foster a strong compliance culture within the company.

Your responsibilities will include:

• Developing and updating relevant compliance policies, manuals & procedures for agencies to address any market conduct concerns and risk/control issues
• Ensuring agencies are kept abreast of updated regulatory requirements
• Preparing regular and ad-hoc compliance reports to the Management and our Regional Office
• Conducting routine thematic reviews, field reviews, and control testing of sales practices
• Identifying potential conduct risks and establishing internal controls to prevent misconduct
• Participating in and handling ad hoc projects/tasks assigned from time to time

The ideal candidate will have:

• A university degree with over 8 to 10 years of experience, preferably in training, financial planning or insurance industry
• Familiarity with insurance related regulatory requirements
• Insurance based qualifications such as FLMI, CFP
• In-depth knowledge of agency operations, sales practices, MCV business and market conduct
• Good training sense in terms of program development and delivery
• Expertise in social media compliance and governance tools
• Capability and experience in analyzing data from control perspective and also good at composing presentation deck and management report
• Strong communication and people skills, as well as good collaboration and influencing skills
• Fluency in spoken and written English and Mandarin

Sun Life offers a 5-day workweek, attractive salary, MPF, group life and group medical insurance, and excellent career development opportunities.