Job Summary

Manage the control and governance of Partnership Distribution to ensure the distribution channels are running in compliance with local regulatory requirements and the company’s policies and guidelines

 Roles and Responsibilities

• Design and implement effective controls in the identified risk areas of partnership distribution channels including but not limited to the following:
• Selection and appointment of intermediaries
• On-going appraisal of intermediaries
• Sales & marketing and communication controls
• Compensation controls
• Sales process and business quality management
• Customer complaint and conduct management

• Liaise with business partners to implement effective controls in the identified risk areas
• Liaise with other departments to implement effective controls in the identified risk areas related to broker and bancassurance business
• Perform regular risk and control assessment for the Department, and drive actions to address areas with increased risks
• Manage and report compliance incidents for the Department
• Support Direct Manager to manage the operation risk assessment and reporting
• Co-ordinate and provide support for review of the Department by Compliance, Internal Audit and regulators
• Drive to enhance the awareness and knowledge of risk management and controls & governance for the Department staff
• Support Direct Manager on ad hoc assignments

 Job Requirements

• University/College graduate with a minimum of 10 years solid working experience in the financial services industry
• Driven, proactive and highly independent
• Strong ownership and accountability of results
• Possess leadership, coaching and influencing skills
• Be organized, detail-oriented with strong problem solving skills
• Strong written and spoken communication in English and Chinese