保险经纪合规负责人 Head of Compliance, Broker
汇丰人寿保险有限公司
- 公司规模:150-500人
- 公司性质:外资(欧美)
- 公司行业:保险
职位信息
- 发布日期:2022-06-27
- 工作地点:北京
- 工作经验:10年以上经验
- 学历要求:本科
- 职位类别:合规经理
职位描述
In this role, You'll
To support Chief Execute Officer, line management and employees are in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being followed, and that behavior in the Company meets the Group's and the local standards.
To help line management to run an efficient and profitable business, without violating Group, legal or regulatory requirements.
To facilitate an organizational culture throughout the Company which reflects a commitment to compliance with law which pertains to both Insurance brokerage and Fund Sales business and industry.
To review and evaluate compliance issues and/or concerns within the Company, and provide constructive suggestions on compliance-related matters in the manner that facilitates business growth.
To provide advice and recommendations in relation to insurance broke compliance and new product or business initiatives.
To develop, implement and administer all aspects of the Company's compliance management program.
To exercise risk steward challenge, act as independent trusted advisory in relevant governance forums, issue management, fostering a compliance culture and optimizing relations with risk owners and control owners.
To keep abreast of key local regulatory change to ensure proactive communication with the business and develop appropriate policy and framework to manage the changes.
To engage and maintain strong relationship with relevant regulators on behalf of the Broker Company and handle all related enquiries include regulatory inspections and audits.
Be responsible for second line governance of Regulatory Compliance and Financial Crime risks exposures, providing analysis, reporting and governance to the Business that is independent of the first line of defense, thereby maintaining an objective assessment of risk exposures.
To report and escalate material compliance issues and risks to ASP Compliance teams.
Contribute in building the Insurance Broker Compliance team, establishing guiding principles and implementation of strategic operational objectives to ensure that the teams are fit for purpose and that the delivery of its critical services to the Business is both effective and cost-efficient.
Qualifications
To be successful in the role, you should meet the following requirements:
Over 10+ years working experience that seasoned Compliance professional is a must.
Specialist knowledge in insurance, broker and fund sales related regulations in Mainland China.
Communication and interpersonal skills, strong verbal and written communication skills – must be able to communicate effectively both internally with group executives and externally with regulators.
Compelling communication and people skills, with strong stakeholder management skills and being able to influence and persuade.
Possess strategic thinking capability and the ability to apply entrepreneurial and commercial thinking to provide professional advice in relation to compliance matters.
Ability to develop practical, cost effective solutions to complex issues.
Energetic, proactive and a positive mindset with a can do attitude and strong ownership of tasks.
Ability to work independently, execute excellence and seek direction as needed.
Ability to cultivate a team work culture and inspire motivation and commitment in the team.
Detailed and extensive knowledge of the HSBC Group structure, its business and personnel, and HSBC's corporate culture.
To support Chief Execute Officer, line management and employees are in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being followed, and that behavior in the Company meets the Group's and the local standards.
To help line management to run an efficient and profitable business, without violating Group, legal or regulatory requirements.
To facilitate an organizational culture throughout the Company which reflects a commitment to compliance with law which pertains to both Insurance brokerage and Fund Sales business and industry.
To review and evaluate compliance issues and/or concerns within the Company, and provide constructive suggestions on compliance-related matters in the manner that facilitates business growth.
To provide advice and recommendations in relation to insurance broke compliance and new product or business initiatives.
To develop, implement and administer all aspects of the Company's compliance management program.
To exercise risk steward challenge, act as independent trusted advisory in relevant governance forums, issue management, fostering a compliance culture and optimizing relations with risk owners and control owners.
To keep abreast of key local regulatory change to ensure proactive communication with the business and develop appropriate policy and framework to manage the changes.
To engage and maintain strong relationship with relevant regulators on behalf of the Broker Company and handle all related enquiries include regulatory inspections and audits.
Be responsible for second line governance of Regulatory Compliance and Financial Crime risks exposures, providing analysis, reporting and governance to the Business that is independent of the first line of defense, thereby maintaining an objective assessment of risk exposures.
To report and escalate material compliance issues and risks to ASP Compliance teams.
Contribute in building the Insurance Broker Compliance team, establishing guiding principles and implementation of strategic operational objectives to ensure that the teams are fit for purpose and that the delivery of its critical services to the Business is both effective and cost-efficient.
Qualifications
To be successful in the role, you should meet the following requirements:
Over 10+ years working experience that seasoned Compliance professional is a must.
Specialist knowledge in insurance, broker and fund sales related regulations in Mainland China.
Communication and interpersonal skills, strong verbal and written communication skills – must be able to communicate effectively both internally with group executives and externally with regulators.
Compelling communication and people skills, with strong stakeholder management skills and being able to influence and persuade.
Possess strategic thinking capability and the ability to apply entrepreneurial and commercial thinking to provide professional advice in relation to compliance matters.
Ability to develop practical, cost effective solutions to complex issues.
Energetic, proactive and a positive mindset with a can do attitude and strong ownership of tasks.
Ability to work independently, execute excellence and seek direction as needed.
Ability to cultivate a team work culture and inspire motivation and commitment in the team.
Detailed and extensive knowledge of the HSBC Group structure, its business and personnel, and HSBC's corporate culture.
公司介绍
汇丰人寿保险有限公司由汇丰保险(亚洲)有限公司和国民信托有限公司合资成立,双方各占50%股权,公司注册资本为10.25亿元人民币,总部设于上海。汇丰人寿为客户提供全面的保险服务,覆盖保障、退休养老、子女教育、财富增值与传承。
汇丰私人财富规划,通过创新科技数字解决方案,智能赋能移动数字工具,随时随地为个人及家庭,提供定制财富规划和保障服务。
我们通过:
“汇丰人寿”提供保障相关产品及财富规划服务
“汇丰金融科技”提供数字科技赋能
“汇丰汇选”APP提供一站式财富科技服务
HSBC Life Insurance currently utilizes AJINGA, a third party recruitment management system, to process job applications. Please watch out for emails, SMS, and/or WeChat messages from AJINGA. Note that AJINGA will only send notices from the following email, and will not ask you to provide any personal data by responding to the message directly.
E-mail: hsbcrecruiting@mail.ajinga.com
汇丰私人财富规划,通过创新科技数字解决方案,智能赋能移动数字工具,随时随地为个人及家庭,提供定制财富规划和保障服务。
我们通过:
“汇丰人寿”提供保障相关产品及财富规划服务
“汇丰金融科技”提供数字科技赋能
“汇丰汇选”APP提供一站式财富科技服务
HSBC Life Insurance currently utilizes AJINGA, a third party recruitment management system, to process job applications. Please watch out for emails, SMS, and/or WeChat messages from AJINGA. Note that AJINGA will only send notices from the following email, and will not ask you to provide any personal data by responding to the message directly.
E-mail: hsbcrecruiting@mail.ajinga.com
联系方式
- Email:hsbcrecruiting@mail.ajinga.com
- 公司地址:浦东新区世纪大道8号汇丰银行大楼18楼, 21楼2101及2115单元 (邮编:200120)