Manager Compliance

Job Purpose

This position is responsible for implementation of Market Conduct programs across Sun Life Vietnam in Banca and other alternative distribution channels, including the collaboration with the first line to set up appropriate controls and monitor to make sure that the Market Conduct risk is mitigated.

Major Accountabilities

1. Proactively work with the first line to develop the controls and monitor the implementation of Market Conduct OG, Market Conduct Control Matrix, applicable regulations on Market Conduct;
2. Work closely with Distributions to monitor and improve sales quality, including implementation of Risk Indicators Management program, Early Watch Alerts, sales quality and controls improvement initiatives, etc.;
3. Conduct the Market Conduct Risk Assessment and analysis to identify the gaps on operating processes and procedures and recommend the corrective solutions;
4. Provide the advice to functional departments on Market Conduct related matters and operating processes/procedures.
5. Prepare and delivery the Market Conduct training to Insurance Specialist, SLV staff and Bank Staff (if required);
6. Conduct compliance review, testing and investigation;
7. Report the findings to management and monitor to make sure that the recommendations implemented;
8. Make the compliance reports to local and regional management team, responds to internal and external queries according to guidelines, monitors compliance across the business unit;
9. Leverage the data analytic and digital knowledge to enhance compliance control effectiveness; and
10. Performs all tasks and projects that may be assigned by Chief Compliance Officer from time to time.

- Strong knowledge of insurance distribution processes and risks
- Excellent analytical and interpersonal skills, including proven experience reviewing regulatory or internal processes, identifying and assessing risks and issues, and providing effective recommendations
- Proactive, motivated and enthusiastic
- Ability to work independently with good time management skill
- Ability to manage multiple tasks or projects simultaneously with minimal supervision
- Ability to work in a team environment and assist with reviews, projects and team initiatives
- Strong organizational skill and be willing to take ownership and responsibility of tasks
- Strong written and verbal communication skills in both Vietnamese and English
- Knowledge of Microsoft Word, Excel, PowerPoint, and Outlook;
- Strong experience and skill set in data analytic and digital.
- A 4-year university degree;
- At least 8 years of working experience gained from financial institutes in compliance/risk/audit.

- Competitive salary
- Social insurance, health insurance, unemployment insurance according to Labor Laws
- Professional, dynamic working environment

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