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Manager, Agency Compliance – overseeing disciplinary matters and compliance training for insurance agents in Hong Kong
Lead risk coordination, audit reporting, and regulatory communication to ensure agency compliance in line with Prudential’s standards.
Prudential’s purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured, for our people, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and we support our people’s career ambitions. We pledge to make Prudential a place where you can Connect, Grow, and Succeed.
This role is to maintain and implement an effective and impartial resolution of all agency related disciplinary matters. Act as the responsible person of the central agency disciplinary hub. Communication to agents on all key regulatory and internal compliance requirements.
Job Descriptions
- Act as the responsible person of the agency-related disciplinary hub. Execute and process all disciplinary issues to concerned agents, and to communicate with the Agency, 2nd line of defence and Agency Management Teams.
- Responsible for maintaining and ensuring the accuracy of the disciplinary log and complete all related reports for submission to Group Office, Enterprise Risk Management (ERM), audit and senior management.
- Supervise and oversee the complaint and investigation cases, including but not limited to designing and preparing compliance report and complaint case/disciplinary statistics to management, providing advice and assist teammates in conducting investigation, interview of complainant and complainee, preparing of investigation report, implementing Disciplinary actions.
- Handle various types of internal and external complaints/enquiries, collaborate with ERM, Customer Service (CS) as well as other necessary parties to investigate, and execute disciplinary actions against insurance agents in an effective and timely manner.
- Uplift agency’s compliance awareness by providing appropriate and updated training to agencies.
- Maintain, dispatch and communicate Agency Handbook, Policy of Disciplinary Point System and Standard Operating Procedures in accordance with regulatory and internal requirements to agency.
- Participate in various compliance projects and provide deliverables within set timelines.
- Proactive communication with agency force to timely inform and remind them on the new or revised regulatory and internal compliance requirements.
- Act as Risk Coordinator to carry out and coordinate risk management tasks with relevant teams in the department.
Job Requirements
- Bachelor’s degree or above
- At least 3 years’ relevant experience in Insurance Compliance, Risk management or Audit.
- Familiar with regulatory requirements and market practices
- Excellent administration skills
- Strong in MS Word, Excel and PowerPoint skills
- Proficiency in spoken and written English and Chinese
- Strong interpersonal and communication skills
Prudential is an equal opportunity employer. We provide equality of opportunity of benefits for all who apply and who perform work for our organisation irrespective of sex, race, age, ethnic origin, educational, social and cultural background, marital status, pregnancy and maternity, religion or belief, disability or part-time / fixed-term work, or any other status protected by applicable law. We encourage the same standards from our recruitment and third-party suppliers taking into account the context of grade, job and location. We also allow for reasonable adjustments to support people with individual physical or mental health requirements.