Key Accountabilities
Leadership & Governance
- Lead and oversee the Agency Compliance function to ensure effective management of compliance risks within the agency channel.
- Develop and implement compliance policies, frameworks, and monitoring mechanisms to strengthen compliance culture across the agency force.
- Provide strategic recommendations and reports to senior management regarding compliance risk trends, root causes, and preventive solutions.
Case Management & Investigation
- Direct and supervise the investigation of agency violations and customer complaints; ensure thorough fact-finding, fair assessment, and timely resolution.
- Chair/lead disciplinary and resolution meetings with stakeholders, ensuring transparent, consistent, and effective decision-making.
- Provide final case assessments and propose sanctions or corrective actions in alignment with company policies and legal requirements.
Agency Force Compliance Monitoring
- Establish and execute monitoring plans to evaluate agents adherence to internal regulations and market conduct standards.
- Regularly conduct compliance reviews and on-site checks at sales offices/General Agencies (GAs), ensuring risk mitigation and corrective action plans are in place.
- Partner with Agency Leadership to design training and communication initiatives that enhance awareness and accountability among the sales force.
Advisory & Stakeholder Management
- Act as a trusted advisor to Agency Management, Sales Leaders, and cross-functional departments on compliance-related issues.
- Collaborate with Legal, Risk, Audit, and Customer Service to align practices, minimize regulatory risks, and protect customer interests.
- Represent the Compliance Department in cross-functional projects and regulatory inspections, ensuring company credibility and compliance readiness.
Continuous Improvement
- Monitor market practices and regulatory developments to proactively update company compliance policies and practices.
- Lead initiatives to improve compliance reporting, documentation quality, and system capabilities.
- Mentor and develop compliance team members, fostering a high-performing and ethical compliance culture.
Job Requirements
Education & Professional Background
- Bachelors degree in Law, Business Administration, Finance, Risk Management, or a related field. Masters degree or professional certifications (e.g., CCEP, CIA, CAMS) are a plus.
- Minimum 57 years of experience in compliance, risk management, audit, or legal functions, with at least 23 years in a managerial/supervisory role.
- Strong exposure to agency-based business models (insurance, financial services, real estate, or similar) is preferred.
Knowledge & Competencies
- In-depth understanding of compliance frameworks, regulatory requirements, and internal control systems.
- Demonstrated ability to lead complex investigations, analyze compliance gaps, and implement sustainable solutions.
- Strong knowledge of operational risk management and audit procedures.
Skills
- Excellent leadership, stakeholder management, and communication skills to influence agency force, cross-functional teams, and senior leaders.
- Strong negotiation, problem-solving, and decision-making abilities.
- High level of integrity, discretion, and resilience in handling sensitive information and high-pressure situations.
- Strong report writing and presentation skills (Vietnamese and English).
- Proficiency in MS Office; familiarity with compliance/audit management systems is an advantage.
Other Requirements
- Proactive, strategic mindset with attention to detail.
- Willingness to travel for branch/agency audits, training, and compliance reviews.
Benefits
- Competitive salary (100% salary during probation).
- Bonus: 13th-month salary and the performance-based bonus of up to 30% of the total annual package.
- Full social insurance, personal accidental & health care insurance, group life insurance (death and dismemberment).
- Gifts for new comers and on special occasions
- Modern facilities in the spacious office
- 16 Annual leaves
