Senior Agency Compliance

Công việc cụ thể là gì?

- To lead and oversee compliance activities across the distribution network (including agency force and sales teams) to ensure all operations align with regulatory requirements, company policies, and ethical standards. - This role is responsible for managing fraud investigations, implementing proactive risk controls, and developing compliance policies, inspection programs, and training to mitigate misconduct and promote a culture of integrity and accountability across the company. Main Tasks and Responsibilities 1. Conduct Regular Inspections and Monitor Compliance - Design and implement an annual inspection plan targeting agents, agency directors (ADs), group agencies, and locations. - Identify, assess, and document compliance risks or breaches during routine and ad hoc reviews. - Report inspection findings and recommend corrective actions to senior management. - Track implementation of remedial actions to closure. 2. Investigate Employee and Distribution-Related Fraud - Lead or oversee investigations into suspected fraud or misconduct involving employees, agents, or distribution-related functions. - Coordinate with HR, Legal, and Internal Audit to ensure thorough, fair, and confidential investigation processes. - Maintain detailed records of investigation outcomes and ensure timely escalation of serious cases. - Recommend disciplinary or corrective measures based on investigation findings. - Analyze root causes and implement controls to prevent recurrence. 3. Develop and Maintain Distribution Compliance Policies and Procedures - Draft, review, and update compliance policies to ensure alignment with laws, regulations, and corporate requirements. - Review & update the Agent Code of Conduct and Disciplinary Matrix. - Customize policies to address varying knowledge levels and roles within the distribution network. - Ensure policies are actionable, practical, and well-communicated across the Company. 4. Drive Proactive Compliance Accountability - Embed compliance responsibilities across systems, processes, and individual performance expectations. - Ensure full implementation of both mandatory and voluntary compliance obligations. - Address compliance breaches promptly and ensure permanent fixes are implemented. - Promote a continuous improvement mindset in compliance practices. 5. Enhance Compliance Training and Awareness - Develop and deliver compliance training programs for agency and sales teams, including fraud awareness modules. - Ensure training materials are current, engaging, and aligned with regulatory expectations. - Track and report completion rates. - Provide accessible tools and platforms for ongoing learning and reference. 6. Reduce Compliance Violations and Fraud Risk - Analyze trends in compliance breaches and fraud incidents to identify systemic issues. - Use insights from investigations and data analysis to strengthen controls and preventive measures. - Participate in seminars and agency director forums to reinforce expectations and share best practices. - Co-ordinate and report to IAV/MOF particularly relevant to agency compliance. - Other task assignments by the Head of Compliance and the EMT. • Ngày làm việc: • Giờ làm việc: • Cấp bậc: • Loại công việc: