Agency Governance Compliance Specialist

1 day ago

Hong Kong, Central and Western District, Hong Kong SAR China AIA International Limited. Full time
About AIA International Limited

AIA International Limited is a leading insurance company dedicated to helping our customers and communities live Healthier, Longer, Better Lives. We are seeking an experienced and motivated individual to join our team as a Agency Control and Governance, Specialist.

Key Responsibilities
  • Work as the quality assurance function between first line and second line (i.e. 1.5 line of defense) for agency channel, improve agency business quality by fostering compliance culture, implementing best practices & strategies with action plans covering awareness, screening, training, monitoring, controls, and correction to support agencies' overall compliance to regulatory requirements of AIA Hong Kong (and Macau)
  • Ensure controls are effectively implemented across agencies
  • Ensure intermediaries aligned with group and regulatory requirements
  • Support on developing conduct controls and monitoring relating to agency when deemed vital

Roles and Responsibilities:

Policies, Guidelines and Programmes
  • Design and implement ongoing improvement of agency sales management policies and guidelines, with effective control monitoring programs in fulfilling group and regulatory requirements
  • Assist on implementing the Distribution Quality Operating Model and implement its application process across agency channel
  • Proactively identify and address regulatory changes and their impacts on distribution practices
Delivery on Compliance Matter and Agency Practices
  • Cultivate a compliance culture in ABDD and agencies through both short term and long term wide planning on training, communications, promotions and monitoring
  • Support on increase awareness on relevant compliance rules and regulations through different means of communication channel, including conducting agency visits and trainings
  • Develop and deliver training programs on motivating agencies to incorporate best practices in daily sales and recruiting activities
  • Coordinate with respective departments/ Company representatives for launch of new compliance and/or regulatory rules and regulations and internal guidelines / training limited to production of regular management reports on action plans relating to regulatory related initiatives
  • Work on supervising programs (such as CPD) to meet the identified compliance and business needs to fulfill regulatory requirements
Governance Culture and Ethics
  • Promote good conduct and customer protection culture in agency channel through different means, e.g. ongoing engagement, communication, training, etc.
  • Work closely with intermediaries, Distribution Teams, Risk and Compliance, to ensure full adherence to the company's compliance and risk management requirements
  • Observe best sales practices and promote quality selling among agency channel
Reporting and Monitoring
  • Coordinate and prepare dashboards/ reports for the review of distribution quality
  • Assist to report distribution quality to management on a regular basis
  • Conduct periodic sample checking on sales compliance requirements
  • Conduct quality assurance reviews of sales practices to identify conduct and compliance risks, and recommend timely risk mitigating actions
  • Timely and actively identify and escalate agent misconduct issues to relevant collaborators
Others
  • Perform other responsibilities and duties periodically assigned by immediate manager in order to meet business and compliance requirements
Minimum Job Requirements:
  • University / College graduate plus 3-5 years proven experience, preferring internal governance, internal control, quality assurance, compliance or complaint handling knowledge / exposure; exposure in agency channel is an advantage
  • Good presentation, communications, and facilitation skills
  • Proficient in written & spoken Putonghua, Cantonese and English
  • Knowledge in insurance and banking industry preferred
  • PC and Mac skills, knowledge on data mining and analysis tool is an advantage
  • Independent and be able to work under pressure
  • High level of integrity and take ownership and accountability of results
  • Proactive, mature, initiative, customer service oriented, willing and able to learn, team player, credible

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