Senior Manager, Sales Compliance

* Position Objective:
This statement should be a general summary of the responsibilities listed in the next section.
- Successfully oversight Sales Compliance guidelines which works as a second line of defense in partnership with the business (as first line of defense) to ensure that all regulatory and market conduct risk is efficiently and effectively assessed, mitigated and controlled.
- Successfully promoting the Compliance culture in the team and the Company’ sales forces.

* Roles and Responsibilities:
Describe specific key functions of the position or the essential areas of responsibilities, listing the most important first.
Begin each statement with an action verb Describe what, how, and why role/responsibility is performed.
Indicate average percentage of time each responsibility takes.
Implementation of Sales Compliance Program (50%)
- Responsible for the overall design and implementation Sales Compliance Program whilst ensuring its alignment with business objectives and AIA Group’s Operating Philosophy.
• Working closely Group Sales Compliance to ensure sales process gap for all channels are identified and managed.
• Working with relevant functions (e.g., BQ, Internal Audit, GAS, U&I, CS, etc.) to build up and/or implement a risk control framework related to sales compliance and provide control procedures on issues.
• Conducting external benchmarking of the processes or trends against industry practices where possible.
• Develop or oversee development of structural approach and procedures to effectively deal with suspected instances of compliance policy violations by employees and/or fraud and misappropriations by agents.
- Responsible for the development of Sales Compliance policies and procedures necessary to support the objectives and values of the Company and for the implementation of corporate (AIA Group) sales policies.
- Responsible to oversee implement penalty comply Market Conduct Guidelines and AIA Group Anti-Fraud Policy and Zero Tolerance Approach.
Compliance Analytics (20%)
- Responsible for the development of Detection Analytical Tools for misconduct highlight and generate Compliance Dashboard for risk assessment and monitoring.
• Regularly review and perform analytics on sales, agent recruitment data, products, distribution support activities, claim to identify non-compliance issues and monitor the investigation to address the issues.
Implementation of Culture of Compliance and Ethics Program (10%)
- Develop and implement an effective education program through ongoing communication and training to embed a culture of compliance and ethics within the Company.
Reporting (20%)
- Responsible for the effective communication of sales compliance matters including timely and accurate reporting and/or escalation of such matters in accordance with relevant reporting and escalation protocols.
- Develop and present sales compliance dashboard for agency and partnership distribution.

- Education – A bachelor degree
- Experience – At least 10 years of experience of which 5 years in Sales Compliance at financial institution and having Manager role. Experience in life insurance is preferred.
- Must be organized, detail-oriented, strong in analysis and communication skills
- Managerial skill
- Good time management
- Able to work under pressure
- Excellent command of English and Vietnamese, both written and oral.

- Salary will be commensurate with qualifications and experience
- Social insurance, health insurance, unemployment insurance according to Labor Laws
- Good chance to study and develop career path stably

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