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Distribution and Sales Compliance - Manager/ Assistant ManagerMadison Pearl Executive Search Limited
Distribution and Sales Compliance - Manager/ Assistant ManagerMadison Pearl Executive Search Limited
Job Highlights
  • Ensure product/sales flow are in compliance
  • Oversee the distribution channels's observance
  • 3 years or more related working experiences
Job Description

Currently representing a reputable insurer, in search for a Compliance Manager/ Assistant Manager. This opportunity is mainly focused on distribution channels and reporting directly into a Head of Legal & Compliance.


Key Responsibilities

  • Assist the Head of Legal and Compliance in ensuring that the product, marketing materials and sales flow are in compliance with all laws, regulations, procedures and internal policies, with a focus on Hong Kong insurance related regulations.
  • Design and implement policies and procedures
  • Perform monitoring function to control end-to-end sales process and operations workflow
  • Ensure sales process and workflow are complied with regulatory requirements
  • To provide advice to distribution teams regarding the compliance practice
  • Responsible for ensuring all colleagues in the distribution teams are properly registered or licensed
  • Oversee the distribution channel’s observance of the relevant rules and regulations in the sales process
  • Assist business to implement the regulatory changes in a timely manner
  • Perform compliance assessments that are designed to identify and assess regulatory, compliance and business risks to which distribution channels are exposed
  • Any ad hoc assignments as assigned

Key Requirements:

  • Degree holder in Law, Accounting, Finance or related disciplines
  • 3 years or more related working experience, life insurance working experience is preferred
  • Solid experience in distribution compliance related to training and communication, investigation, dealings with regulators.
  • Knowledge on life insurance and other insurance products
  • Excellent communication, interpersonal and influencing skills
  • Self-motivated and pro-active team player with strong problem-solving skills
  • High ethics with strong sense of responsibility
  • Excellent command of written and spoken English and Chinese (including Putonghua)




Additional Information
Career Level
Years of Experience
3 years
Employment Type
Full Time
Dental insurance, Double pay, Education allowance, Five-day work week, Flexible working hours, Medical insurance, Performance bonus