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Head of Sales Compliance


Date: Feb 18, 2019

Location: Shanghai, CN

Company: AIA Careers

Roles and Responsibilities:

1. Compliance Framework / Policy / Procedure (40%)

  • Lead the design, implementation and enhancement of  AIA China’s sales (market conduct) and regulatory Compliance framework (including product development), whilst ensuring its alignment with Business objectives and Group Compliance’s strategic directions;
  • Lead the team to work out an effective compliance risk assessment program on sales (market conduct) and regulatory compliance;
  • Lead the change process to ensure Compliance obligations and requirements to be embedded in internal operation and selling process;
  • Act as saels compliance expert, to provide strategic compliance solution to mitigate risk and meet business needs as well;
  • Lead CHO sales compliance team and branch compliance to look into internal control procedures, such as complaints handling, risk escalation, root cause assessment, trend analysis, with aim to enhancing internal control and risk mitigation.

2. Compliance Reviews (15%)

  • Lead and develop CHO review projects, guiding branch compliance in detailed review process and overseeing the quality control;  
  • Oversee and monitor implementation of remedial actions by first line on any non-compliance issues.

3. Compliance Reporting (10%)

  • Oversee and monitoring compliance risk escalation from branch and CHO, to ensure proper escalation to senior management for alert and settlement;

4. Compliance Awareness (10%)

  • Lead and develop training roadmap for agency, banca and other sales channels;
  • Take initiatives to organzie and kick off innovative promotion campaign to enhance compliance awareness of internal staff and sales force.

5. People Development (15%)

  • Responsible for leading, coaching and developing the CHO sales compliance team and branch team to support the business.


Minimum Job Requirements:

  • Bachelor's degree holder or, ideally, above, in finance institution, with at least 10 years solid work experience in compliance, legal, internal control, risk or audit, and at least 8 years in a manager role.
  • Certified Lawyer, Auditor, Accountant, or Internal Control is a must.
  • In-depth understanding of the Insurance business preferred and, in lieu of insurance, financial services
  • Excellent command of English and Chinese, both written and oral.
  • Engaging speaker and with excellent interpersonal skills.
  • Independent, self-driven and able to work under pressure.
  • Must be organized, detail-oriented and analytical.
  • Must possess leadership, coaching and influencing skills; business acumen; effective change management skills; problem solving skills.
  • With high level of integrity.

Job Segment: Accounting, Change Management, Compliance, Law, Finance, Management, Sales, Legal

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