Report to CAO

Responsibilities:

• Coordinates & aligns with Corporate, Regional Compliance and Business Units on the Enterprise Market Conduct Policy and Risk Control matrix
• Generates and assesses market conduct trends via the Risk Indicator Monitoring (RIM) tool on consistent basis
• Reviews and tracks potential risk trends by Business Unit, derives appropriate recommendations and actions
• Leads Business Unit’s FMU to mitigate the risks and advises senior management of any potential risk trend and preventive measures
• Conducts periodic sales practices health check and market conduct training to ensure appropriate sales behaviors

Requirements:

• 7 years of experience in agency sales management and supports
• Insurance based qualification such as FLMI, CFP is an added advantage
• Understanding of sales compliance and experiences within its framework is preferable