Market Conduct, Assistant Manager
Salary undisclosed
Apply on
Original
Simplified
Job Responsibilities:
- To provide advice and guidance to distribution channels to ensure that they comply with the relevant regulatory requirements, for instances, Management of Customer Information, PDPA, etc.
- To ensure smooth implementation of Anti-Corruption Policy System, Anti-Corruption Program, Whistleblowing Policy and Procedures, etc.
- To investigate reported MACC and WPP cases.
- Attend and assist with handling and investigation of customer complaint, provide advice on compliance related matter with regards to the agent’s conduct, as part of Market Conduct initiative of the company.
- Conduct field visits/mystery shopping on roadshows organized by agencies. Prepare field report and identify any incidents of non-compliance for reporting.
- Review, on periodic basis, the agency training materials, handbook, sales materials, advertisements etc.
- Assist with the preparation of monthly and quarterly compliance reports for EXCO meeting and Group Board Risk Management meeting respectively. Assume the role of secretary in the preparation and consolidation of presentation papers and recording minutes of meeting
- Ensure that ad-hoc tasks are attended and completed without disrupting the daily operational flow of the department.
Job Requirements:
- 2 years of experience comprising external & internal audit and compliance relevant experience, in particular with the insurance industry.
- Minimum of 2 years' experience in audit and compliance for finanacial institution.
- Strong communication, interpersonal and analytical skill.
Similar Jobs