Distribution Compliance Officer (Financial Institution) (Contract) #JTL

• Review and update processes and guidelines in relation to public prospecting and marketing / recruitment materials.
• Communicate and reinforce the awareness of the guidelines in relation to public prospecting and marketing / recruitment materials.
• Share relevant guidelines and issues with Financial Representatives through training materials, onsite visit, cluster meeting and other agency platforms.
• Review and approve Agency Identity Collaterals, Agency Group Name / Logo, Agency Group Website and Agency Group Signage.
• Ensure the Marketing and Recruitment Marketing Materials approval process is adhered within the SOP.
• Review social media content posted by the Financial Representatives to identify non-compliance with the guidelines.
• Explore tools and methods to streamline and enhance the monitoring mechanisms.
• Takes accountability in considering business and regulatory compliance risks and takes appropriate steps to mitigate the risks.
• Maintains awareness of industry trends on regulatory compliance, emerging threats and technologies in order to understand the risk and better safeguard the company.
• Highlights any potential concerns /risks and proactively shares best risk management practices.

Our Requirements

• Minimum Diploma / Bachelor’s degree
• With some knowledge in the insurance sector will be an added advantage

EA License No: 99C4599