Asst Manager/Manager, Distribution Compliance

1 week ago

Petaling Jaya, Selangor, Malaysia Hong Leong Assurance Berhad Full time 80,000 - 120,000 per year

About the role

The Asst Manager/Manager, Distribution Compliance plays a key role in reviewing and screening customers against major global sanctions lists, including OFAC, UN, EU, and other relevant watchlists. This role, heavily involved in name and sanctions screening is essential in ensuring the company meets regulatory requirements, manages risks, and upholds a strong compliance framework.

What you'll be doing

  • Undertake investigation and follow-ups to ensure timely disposal and resolution of agency fraud investigation & customer complaint cases, including attending and assisting with handling and investigation of customer complaint, provide advice on compliance-related matter with regards to the agent's conduct.
  • Conduct fraud analysis, detection and compliance surveillance in relation to agency compliance, including field visits/mystery shopping on roadshows organized by agencies and surveillance on social media platforms.
  • Review and render the investigation reports on findings / recommendations to Head of Department / Management and liaison with applicable authorities and regulators.
  • Supervise / undertake fraud and misconduct issues/cases and promptly report to Management and to ensure all fraud cases are reported to BNM within the stipulated time frame given and ensure database for all misconduct/fraud cases are well maintained.
  • Conduct briefing/training/investigation (as and when necessary and directed) and to review, on periodic basis, the agency training materials, handbook, sales materials, advertisements etc.
  • Develop/enhance methodology in profiling of undesired agency practices. Collect and analyse data from misconduct/fraud cases for preventive and educational initiatives.
  • To ensure smooth implementation of Anti-Corruption System Policy, Anti-Corruption Program, Personal Data Protection Policy, etc.
  • Collaborate with cross-functional teams to support business initiatives.
  • Effective liaison with all business units across the organization on compliance matters and provides necessary inputs where required.
  • Adept at using technology to enhance compliance functions.

What we're looking for

  • Bachelor's degree in related field;
  • Minimum 3-5 years of experience in a compliance role, preferably within the banking, insurance or financial services industry.
  • Thorough understanding of applicable regulations, such as FIMM, AMLA and PDPA.
  • Proven track record in developing and implementing effective compliance programs.
  • Strong analytical and problem-solving skills to identify and mitigate compliance risks.
  • Excellent communication and interpersonal skills to collaborate with cross-functional teams.
  • Ability to work independently and make sound decisions under pressure.
  • Relevant professional qualifications, such as CRCM or CRCP, would be an advantage.

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