Senior Distribution Business Compliance Officer

Brief Summary

Join a dynamic team dedicated to enhancing risk management and compliance in financial advisory services. Utilize your expertise to support adherence to laws and regulations while fostering a culture of compliance and accountability.

Responsibilities

• Drive and implement risk management and compliance strategies for financial advisors. Review and update processes and guidelines concerning public prospecting and marketing/recruitment materials. Communicate and promote awareness of compliance guidelines through various training and agency platforms. Review and approve marketing collateral, group branding, and digital presence for agencies. Ensure adherence to the marketing materials approval process as outlined in standard operating procedures (SOP). Monitor social media content from financial representatives to identify instances of non-compliance. Explore innovative tools and methods to improve compliance monitoring mechanisms. Assess business and regulatory compliance alongside emerging threats to enhance organizational risk management practices. Identify potential risks and share best practices for effective risk management.

Requirements

• Diploma or Bachelor's Degree. Minimum of 1-2 years of experience in compliance or risk management in the financial services sector. Familiarity with the insurance industry is advantageous. Proactive self-starter with strong interpersonal skills to engage effectively with various stakeholders. High level of integrity and accountability in work responsibilities, demonstrating a positive attitude towards teamwork. Initiative-driven with adaptability to embrace changes and enhance existing processes.