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Distribution Compliance Lead

Phú Hưng Life Insurance · Hồ Chí Minh
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Loại hình
Toàn thời gian
Hình thức
Tại văn phòng
Cấp bậc
Nhân viên
Ngành nghề
Ngành nghề khác
Mức lương
Thương lượng
Địa điểm
Hồ Chí Minh, Hồ Chí Minh, Hồ Chí Minh

Tổng quan

  • 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.

Quyền lợi

Đào tạo

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