Insurance Compliance (Agency Channel, 1st Line Business)

Key Responsibilities:

• Develop and enforce compliance policies and procedures for onboarding new agent ensuring alignment with regulatory requirements.
• Monitor new business activities from agent and company agent to ensure compliance with internal policies and regulatory standards.
• Provide guidance and training to agent and company agent’s staff on sales conduct requirements and regulatory expectations.
• Investigate and address complaints concerning agent and company agent in a timely and thorough manner.
• Collaborate with internal teams to streamline onboarding processes and enhance compliance practices.
• Manage responses to regulatory inquiries and audits related to agent and company agent onboarding and sales conduct.
• Conduct regular reviews and assessments to identify and rectify any compliance gaps or issues.
• Advise management on business initiatives and specific issues to ensure compliance with legal and regulatory requirements

Requirements:

• Bachelor's degree in Business, Finance, Law, or related field.
• 5+ years of experience in agency or brokerage compliance, with a focus on onboarding processes and sales conduct.
• Comprehensive knowledge of insurance regulations and compliance requirements.
• Proficient in English and Chinese