1. Compliance control & business risk handling
- Design inspection, post-inspection processes and early warning mechanisms for the entire distribution system
- Develop standards for business control, professional ethics and life-cycle agent/consultant code management
- Monitor compliance with practice regulations, handle violations and coordinate internal investigations with relevant departments
- Propose improvements to quality control systems, monitoring tools and real-time operating dashboards
- Analyze sales behavior, detect deviations, and monitor internal violation trends.
- Organize internal investigations when there are signs of mis-selling or serious violations.
- Be the focal point for coordinating with the legal, auditing and training departments to handle violations.
- Be the focal point for consulting with the Business, Human Resources, Legal and Compliance departments on quality control policies
- Coordinate the development of reporting systems, dashboards and data analysis tools for violations
Design advanced training programs on compliance, professional ethics and performance management for channel managers
2. Manage the code system & licensing process
- Execute operational procedures for code issuance, cancellation, and temporary license suspension, ensuring alignment with internal compliance protocols and market regulations
- Monitor consultant code status and activity lifecycle, collaborating with Recruitment, Training, and Admin teams for accurate updates and adjustments
- Perform data consistency checks across code records, contract generation, and commission payout - identify anomalies such as inactive codes linked to revenue
- Contribute to licensing workflow improvements and basic system integrations between code data and internal platforms (CRM, onboarding, contract management...)
- Support regular reconciliation and code audits, working with Compliance or Internal Audit to ensure integrity of sales force code records for regulatory reporting and distribution expansion