Distribution Compliance Manager / Assistant Manager
The Distribution Compliance Manager / Assistant Manager oversees compliance in the distribution channel, ensuring adherence to regulatory requirements and internal policies. This role is vital for maintaining integrity and mitigating risks within the company's compliance framework.
The organisation values regulatory compliance in the insurance sector and promotes a collaborative approach within its teams, with a focus on continuous improvement and risk management.
Role Overview
The role involves providing practical compliance advice to the brokerage channel, developing and delivering training materials, and ensuring brokers follow regulatory standards. The manager will investigate market conduct complaints, conduct quality assurance reviews, and develop compliance policies. Success relies on effective communication with regulators, internal teams, and external auditors, along with ongoing evaluation and enhancement of compliance controls.
Key Skills & Experience
- Provide sound and practical advice to brokerage channel for all compliance issues
- Prepare compliance training materials and conduct regular training sessions for broker partners
- Investigate complaints related to market conduct and recommend disciplinary actions
- Conduct quality assurance reviews of sales practices to identify risks and suggest mitigation measures
- Develop, review, and update compliance policies, procedures, and manuals in response to regulatory or business changes
- Prepare reports for regulators and management
- Handle enquiries from regulators, law enforcement, and auditors concerning compliance issues
- Participate in intermediary conduct and regulatory projects, providing advisory support from conduct risk and compliance perspectives
- Perform internal process reviews, identify areas for improvement, and implement enhancements
Requirements
- University graduate; 5-6 years of experience in distribution compliance or complaint handling
- Sound knowledge of insurance products, compliance processes, and regulatory requirements
- Good communication and interpersonal skills
- Able to build trust and foster relationships with relevant teams
- Able to think critically with an independent mindset
- Candidates with less experience will be considered as Assistant Manager
Nice to Have
- HKG Ins Compliance local
- HKARC - Life Insurance
Key Responsibilities
- Provide compliance advice to the brokerage channel
- Prepare and deliver compliance training to broker partners
- Investigate market conduct complaints and recommend disciplinary actions
- Conduct quality assurance reviews of sales practices
- Develop and update compliance policies and procedures
- Report to regulators and management
- Handle compliance-related enquiries from regulators and auditors
- Participate in regulatory projects and provide conduct and compliance advisory
- Review internal processes and implement control improvements
Requirements
- Right to work in Asia
- Employment type: Permanent
- Location: On-site
- Duration: 2 weeks
- Start date: 26/07/2026
If you have the relevant skills and experience, please apply with an updated CV.
