Agency Compliance Specialist - Chuyên viên Kiểm soát Tuân Thủ Đại lý

Mô tả Công việc

To support Distribution Compliance team (supervise Agency Department's Compliance) in handling regulatory and internal compliance risks through timely reporting, effective case investigation, and cross-functional coordination with relevant departments.

Main Tasks and Responsibilities

• Prepare compliance reports related to key indicators, action plans, and recommendations to mitigate Agency violations. Follow up and ensure timely submission of periodic reports, including regulatory reports (eg MOF/IAV reports), internal reports (eg Monthly Compliance Reports, Self-checking sheets), and ad-hoc reports (eg violation analysis).
• Handle complaints or violation cases, including conducting interviews with agents, documenting the process, and considering appropriate disciplinary actions.
• Coordinate with relevant departments to recommend blacklisting of agents to IAV when necessary.
• Work with internal teams to propose and deduction or additional bonuses calculate related to compliance matters.
• Collaborate with IT to implement or enhance compliance systems and tools.
• Update compliance-related policies and procedures; review, revise, and improve internal SOPs to enhance operational efficiency and ensure regulatory alignment.
• Support compliance training sessions and perform inspections when required.
• Perform other duties as assigned by the Head of Distribution Compliance or Chief Legal Compliance & Risk Officer.

Yêu Cầu Công Việc

• Bachelor's degree in Law, Finance, Economics, Business Administration, or other related fields.
• At least 3 years of working experience in compliance, internal control, risk management, investigation, or similar functions in the insurance, banking, or financial services industry.
• Strong skills in report analysis and documentation.
• Proficiency in Microsoft Office (Excel, Word, PowerPoint).
• English communication is preferred (reading and writing compliance-related content)