Chief Compliance Officer

6 days ago

Hong Kong, Central and Western District, Hong Kong SAR China Chubb Life Full time

1. Compliance Management Strategy & Framework

  • Develop, implement, and establish a comprehensive compliance management strategy and framework aligned with the Company's business objectives, regulatory and Chubb requirements.
  • Lead a team and conduct regular compliance risk assessments, drive proactive actions to address areas of increased risks, and evaluate the impact and mitigation of identified risks.
  • Continuously monitor and review the effectiveness of compliance management strategies and make recommendations for improvements.
  • Develop an annual strategic Compliance Plan (including an annual Awareness, Communication and Training ("ACT") Plan and a Monitoring Plan) in consultation with direct and matrix stakeholders, which incorporates execution priorities that support the achievement of business and functional strategies and objectives.
  • Lead and influence to contribute to a culture of compliance and integrity.

2. Corporate and Distribution Compliance

  • Enhance and manage an effective compliance framework and program for corporate and distribution compliance.
  • Enhance and support the implementation of an effective and quality framework for distribution channels and models.
  • Collaborate with and support stakeholders to establish effective controls in identified risk areas of distribution channels, including but not limited to selection and appointment of intermediaries, performance review of intermediaries, compensation controls, sales process, business quality management, customer complaints, and conduct risk management.
  • Oversee the Company's Anti-Bribery and Corruption, Anti-Money Laundering, Trade Sanctions and other compliance programs.
  • Develop policies and programs that encourage managers and employees to report suspected fraud and other improprieties, without fear of retaliation.
  • Implement a robust Line 2 monitoring and assurance program covering corporate and distribution compliance to proactively identify specific and systemic compliance and/or fraud risks, and support business owners to design and implement effective solutions.
  • Coordinate the team to ensure that adequate resources are assigned to oversee and manage corporate and distribution compliance requirements.
  • Conduct investigations as required.

3. Regulatory Affairs

  • Maintain effective relationships with regulatory authorities and bodies, including interacting with regulators on compliance issues and coordinating efforts related to regulatory audits, reviews, and examinations.
  • Stay informed and proactively update and engage with stakeholders on regulatory developments and changes.

4. Compliance Awareness

  • Proactively promote and foster a positive compliance culture and mindfulness, including Line 1 understanding, ownership, and accountability for compliance responsibilities in line with Chubb's Three Lines of Responsibility model.
  • Conduct trainings and workshops to enhance compliance knowledge throughout the Company.
  • Provide guidance and advice on regulatory, compliance and ethical issues.

5. Stakeholder Management and Team Leadership

  • Serve as a member of the Senior Leadership Team, collaborate and work directly with internal stakeholders, including senior executives, department heads, and business units, to help the Company achieve its business goals while ensuring effective implementation of compliance management strategies.
  • Provide strategic direction to the management team on compliance.
  • Prepare and present clear and concise compliance reports to the Board.
  • Build strong and positive relationships with external stakeholders, such as auditors, regulators, and industry associations, to stay informed of industry trends and best practices.
  • Effectively manage the Compliance team by setting clear roles, responsibilities, and performance expectations, and drive efficiency, productivity, and continuous improvements through feedback, coaching, and training.
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