Associate Manager Compliance

Job Purpose :
Build strong compliance culture through: Compliance training and awareness; Compliance monitoring and testing; Incident management and reporting. Support the expansion of Bancassurance channel. Enhancing control and monitoring through reviewing and inputting to Bancassurance processes, procedures and business activities.
Major Accountabilities:
1. Develop, implement, and oversee the operating effectiveness of Market Conduct programs across Sun Life Vietnam, including the collaboration with the cross-functional teams such as bancassurance channel and relevant stakeholders to set up appropriate controls and monitor to make sure that the Market Conduct risks are mitigated as well as to detect, prevent and manage Market Conduct related risks that may affect the Company's business operations and reputation.
2. Report the findings to management and monitor to make sure that the recommendations implemented.
3. Provide the advice to functional departments over Bancassurance business on Market Conduct related matters and operating processes/procedures.
4. Analyse sales and misconduct data/information to identify the risk, recommend for preventive and detective actions, monitor and improve sales quality, including implementation of Risk Indicators Management program, Early Watch Alerts, sales quality and controls improvement initiatives, etc....
5. Adopt, localize the policies and operating guidelines issued by Enterprise Compliance; review, revise the local operating guidelines to reflect regulatory updates and business operation changes.
6. Conduct the Market Conduct Risk Assessment and analysis to identify the gaps on operating processes and procedures and recommend the corrective solutions.
7. Make the compliance reports to local and regional management team, responds to internal and external queries according to guidelines, monitors compliance across the business units.
8. Conduct compliance reviews/testing according to the compliance plan; work closely with Bancassurance channel to support delivery the business as well as enhancing control and monitoring to strengthen Bancassurance process and procedures.
9. Perform virtual, in-class training, sharing sessions to enhance compliance awareness and best practices for targeted groups. Review Compliance related training material to sales channel.
10. Performs all tasks and projects that may be assigned by Associate Director, Compliance and/or Chief Compliance Officer from time to time.