# Manager, Agency Compliance

**Company**: Prudential
**Location**: Hong Kong
**Experience**: senior
**Job type**: full-time
**Category**: Finance
**Industry**: Finance

**Apply**: https://prudential.wd3.myworkdayjobs.com/en-US/prudential/job/Hong-Kong/Manager--Agency-Compliance_26040282?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply
**Canonical**: https://yubhub.co/jobs/job_bd2bf9d0-f1f

## Description

We are seeking a Manager, Agency Compliance to maintain and implement an effective and impartial resolution of all agency-related disciplinary matters.

Responsibilities:

- Act as the responsible person of the agency-related disciplinary hub, executing and processing all disciplinary issues to concerned agents, and communicating with the Agency, 2nd line of defence, and Agency Management Teams.

- Maintain and ensure the accuracy of the disciplinary log and complete all related reports for submission to Group Office, Enterprise Risk Management (ERM), audit, and senior management.

- Supervise and oversee complaint and investigation cases, including designing and preparing compliance reports and complaint case/disciplinary statistics to management, providing advice and assisting teammates in conducting investigations, interviewing complainants and complainees, preparing investigation reports, and implementing disciplinary actions.

- Handle various types of internal and external complaints/enquiries, collaborating with ERM, Customer Service (CS), and other necessary parties to investigate and execute disciplinary actions against insurance agents in an effective and timely manner.

- Uplift agency compliance awareness by providing appropriate and updated training to agencies.

- Maintain, dispatch, and communicate Agency Handbook, Policy of Disciplinary Point System, and Standard Operating Procedures in accordance with regulatory and internal requirements to agencies.

- Participate in various compliance projects and provide deliverables within set timelines.

- Proactively communicate with agency forces to timely inform and remind them of new or revised regulatory and internal compliance requirements.

- Act as Risk Coordinator to carry out and coordinate risk management tasks with relevant teams in the department.

Requirements:

- Bachelor's degree or above

- At least 3 years' relevant experience in Insurance Compliance, Risk management, or Audit

- Familiarity with regulatory requirements and market practices

- Excellent administration skills

- Strong MS Word, Excel, and PowerPoint skills

- Proficiency in spoken and written English and Chinese

- Strong interpersonal and communication skills

## Skills

### Required
- Insurance Compliance
- Risk Management
- Audit
- MS Word
- Excel
- PowerPoint
- English
- Chinese

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