Oversee conduct risk management and regulatory change initiatives for distribution channels, ensuring prompt and effective implementation across the business.
Deliver practical compliance advice on sales practices, intermediary governance, and distribution partner oversight.
Identify and mitigate conduct risks throughout the customer sales journey by developing robust preventive and detective controls.
Design and perform compliance monitoring, thematic reviews, and control testing; deliver insightful MI, KRIs, and management reporting.
Review and approve product materials, marketing campaigns, customer disclosures, and sales communications to ensure fairness and regulatory compliance.
Lead the handling of conduct incidents and customer complaints, driving thorough root cause analysis and timely remediation.
Develop and deliver targeted training programs to promote a strong compliance culture among business teams and distribution partners.
Collaborate with key stakeholders on product governance and other compliance-related projects.
Qualifications & Experience
University degree in Business, Finance, Law, Accounting or a related field.
At least 8 years of solid experience in compliance, conduct risk, or distribution/product governance within insurance or financial services.
In-depth understanding of Insurance Authority regulations, intermediary rules, and conduct standards in Hong Kong.
Strong interpersonal and communication skills, with the ability to influence and engage effectively with business and senior stakeholders.
Analytical mindset with excellent problem-solving capabilities and strong business acumen.
Fluent in written and spoken English and Chinese (Cantonese)
