Manager, Compliance

About the role

This role reports to the Market Conduct Compliance Section Head and will be leading a team of reviewers in reviewing the quality of sales by representatives and Training and Competency activities conducted by the supervisors. The candidate will have the opportunity to work closely with other Business Units (“BUs”) and stakeholders, including the Head of Compliance, Chief Legal & Compliance Officer and Senior Management, in relation to review work conducted by the team. 

Key Responsibilities

• 
  
  
  

  
  
  1. Lead and oversee a team of reviewers in the conduct of documentation reviews and pre-transaction call reviews, ensuring reviews are performed in accordance with established regulatory requirements, policies, and standards.
  
  
  2. Drive the timely completion of reviews by the team while maintaining high standards of quality, consistency, and accuracy in review outcomes and reporting.
  
  
  3. Review, enhance, and implement review methodologies, processes, standards, and operating procedures to strengthen review effectiveness, operational efficiency, and governance.
  
  
  4. Provide leadership, guidance, coaching, and mentorship to team members, supporting their professional development, capability building, and performance excellence.
  
  
  5. Oversee the preparation and presentation of management information and reporting to Senior Management, Board Committees, and other governance forums, ensuring accuracy, completeness, and timely submission. 
  
  
  6. Serve as a trusted advisor to business units, providing guidance on sales advisory practices, training and competency matters etc.
  
  
  7. Lead or participate in strategic initiatives, projects, and ad hoc assignments as directed by the Section Head and/or Head of Compliance.
  
  
  8. Identify, assess, and escalate trends and market conduct risks identified during reviews, and work collaboratively with stakeholders to drive remediation and continuous improvement initiatives.
  
  

  
  

   

  
  

Qualifications

• At least a Bachelor's degree or above in a relevant discipline 


• Any relevant professional qualification or certification will be an added advantage.


• At least 5-8 years of experience in compliance or Line 1.5  related work within the insurance or financial services industry, or in regulatory agencies. 


• Prior experience in regulatory liaison work, either from an insurer or a regulator, will be considered an added advantage.


• Must be proficient in MS Office and its applications.