Senior Distribution Business Compliance Officer

Overview

Be part of an innovative team focused on strengthening risk management and compliance within financial advisory services. Leverage your skills to ensure compliance with relevant laws and regulations while promoting a culture of accountability and adherence.

Key Responsibilities

• Lead the development and execution of risk management and compliance strategies for financial advisors. Evaluate and revise processes and guidelines related to public prospecting and marketing/recruitment materials. Disseminate compliance guidelines through various training sessions and agency communication channels. Review and authorize marketing materials, group branding, and online presence for agencies. Ensure compliance with the marketing materials approval process as stipulated in standard operating procedures (SOP). Track social media content from financial representatives to pinpoint non-compliance issues. Investigate and implement innovative tools and techniques to enhance compliance monitoring systems. Evaluate business and regulatory compliance in light of emerging risks to advance organizational risk management strategies. Recognize potential risks and disseminate best practices for effective risk management.

Qualifications

• Possession of a Diploma or Bachelor's Degree. A minimum of 1-2 years of experience in compliance or risk management within the financial services industry. Knowledge of the insurance sector is a plus. Self-motivated individual with excellent interpersonal skills for engaging with diverse stakeholders. High degree of integrity and accountability in professional duties, showcasing a collaborative spirit. Driven by initiative, with the ability to adapt to change and improve existing processes.