Manager, Agency Compliance

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