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Distribution Compliance Lead

Phú Hưng Life Insurance · Hồ Chí Minh
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Type
Full-time
Work mode
On-site
Level
Staff
Industry
Other
Salary
Thương lượng
Location
Hồ Chí Minh, Hồ Chí Minh, Hồ Chí Minh

Overview

  • To lead and oversee compliance activities across the distribution network (including agency force and sales teams) to ensure all operations align with regulatory requirements, company policies, and ethical standards.
  • This role is responsible for managing fraud investigations, implementing proactive risk controls, and developing compliance policies, inspection programs, and training to mitigate misconduct and promote a culture of integrity and accountability across the company.
  • Conduct Regular Inspections and Monitor Compliance
  • Design and implement an annual inspection plan targeting agents, agency directors (ADs), group agencies, and locations.
  • Identify, assess, and document compliance risks or breaches during routine and ad hoc reviews.
  • Report inspection findings and recommend corrective actions to senior management.
  • Track implementation of remedial actions to closure.
  • Investigate Employee and Distribution-Related Fraud
  • Lead or oversee investigations into suspected fraud or misconduct involving employees, agents, or distribution-related functions.
  • Coordinate with HR, Legal, and Internal Audit to ensure thorough, fair, and confidential investigation processes.
  • Maintain detailed records of investigation outcomes and ensure timely escalation of serious cases.
  • Recommend disciplinary or corrective measures based on investigation findings.
  • Analyze root causes and implement controls to prevent recurrence.
  • Develop and Maintain Distribution Compliance Policies and Procedures
  • Draft, review, and update compliance policies to ensure alignment with laws, regulations, and corporate requirements.
  • Review & update the Agent Code of Conduct and Disciplinary Matrix.
  • Customize policies to address varying knowledge levels and roles within the distribution network.
  • Ensure policies are actionable, practical, and well-communicated across the Company.
  • Drive Proactive Compliance Accountability
  • Embed compliance responsibilities across systems, processes, and individual performance expectations.
  • Ensure full implementation of both mandatory and voluntary compliance obligations.
  • Address compliance breaches promptly and ensure permanent fixes are implemented.
  • Promote a continuous improvement mindset in compliance practices.
  • Enhance Compliance Training and Awareness
  • Develop and deliver compliance training programs for agency and sales teams, including fraud awareness modules.
  • Ensure training materials are current, engaging, and aligned with regulatory expectations.
  • Track and report completion rates.
  • Provide accessible tools and platforms for ongoing learning and reference.
  • Reduce Compliance Violations and Fraud Risk
  • Analyze trends in compliance breaches and fraud incidents to identify systemic issues.
  • Use insights from investigations and data analysis to strengthen controls and preventive measures.
  • Participate in seminars and agency director forums to reinforce expectations and share best practices.
  • Co-ordinates and reports to IAV/MOF particularly relevant to agency compliance.
  • Other task assignments by the Head of Compliance and the EMT.

Benefits

Training

Summary of facts from the official posting. View original ↗

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