Senior Manager, Group Compliance
2 weeks ago
FWD Group is a pan-Asian life insurance business with more than 13 million customers across 10 markets, including some of the fastest-growing insurance markets in the world.
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PURPOSE
A member of the Group Compliance team implementing the compliance mandate and strategies related to conduct risk including product design, sales quality and distribution compliance and customer outcomes.
KEY ACCOUNTABILITIES
- Supporting the design of Compliance owned Groupwide Policy, Standards and Guidelines for Conduct Risk Management, including but not limited to the Distribution and Sales Quality Policy ('DSQP'), Treating Customers Fairly Policy ('TCFP'), Complaints Policy, Investigation Standards, Welcome Call and Sales Force Disciplinary Guidelines.
- Supporting the design of other Policies, Standards and Guidelines that support the mitigation of conduct risk, including but not limited to Product Approval, Industry Recruitment Guidelines, Underwriting and Claims policies.
- Provide effective challenge and oversight of key activities.
- Establish with BU Compliance teams effective monitoring programs conducted by the first and second line of defence, including but not limited to: (i) Early Warning Systems to timely detect potential misconduct; (ii) Conduct Risk dashboards to assess the overall level of conduct risk across the customer lifecycle; (iii) Quality Assurance over key processes that give rise to Conduct Risk and the key controls designed to mitigate risk; (iv) Compliance testing of Policies, Manuals, Processes and Operational Effectiveness versus applicable regulations and Group Policy and Standards.
- Lead or participate in Group Compliance' independent Thematic Reviews of Deep Dives of BU practices.
- Establish quality Groupwide reporting, analytical insights on Conduct Risk, including recommended actions.
- Establish action tracking, reporting and escalation of key Conduct Risks, Issues, Incidents.
- Leverage technology to enhance the above.
- Contribute to the production of Group Compliance reporting to key Governance Fora, including but not limited to the Group Management Team (GMT), Compliance & Operational Risk Committee (CORC), Group Audit Committee and Group Risk Committee.
- Provide and support general and specific Compliance Training on Conduct Risk Management, as well as other topics as required. Provide input on training to intermediaries.
- Work closely with BU Compliance Teams and other BU Management on the development and embedding of Conduct Risk Frameworks.
- Support the BU Compliance Teams with Regulatory Inspections and, or queries with respect of Conduct Risk.
- Work closely with relevant Group Office teams, especially Distribution and Propositions, Emerging Market MD, Customer, Health and Operations to ensure Conduct Risk and Compliance is appropriately considered in the design of everything we do.
- Any other initiatives, tasks and projects assigned by the Group Chief Compliance Officer
- Ideally 10+ years of relevant experience in regulatory compliance, distribution compliance, risk management or audit, with exposure to the insurance industry
- Relevant degree from a recognised university
- Professional certifications in compliance, risk management or audit is an advantage
- Direct experience working in multicultural, cross functional and diverse environments
- Prior experience in an insurer in SEA in a governance role is preferred
- Strong working knowledge of the applicable laws and regulations, industry standards and codes applicable to the insurance industry and how these develop and evolve.
- Knowledge of the insurance distribution and sales process across different jurisdictions in Asia
- Strong product knowledge and understanding of where conduct risk arises in design or marketing.
- Flexible and commercially minded balancing between meeting compliance obligations and business strategic objectives
- Ability to establish positive relationships and communicate effectively with stakeholders. Resilient enough to engage with stakeholders with different views.
- Digitally savvy, and open to new ideas and the use of technology to challenge the status quo
- Positive attitude, selfstarter and team player
- Excellent organisation skills with the ability to balance priorities
- Attention to detail
- Ability to work under pressure and independently in a dynamic fast paced, small team environme
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