Compliance Manager at Sun Life

Job Responsibilities
Compliance Program

• Assist the Business Unit Compliance Officer and his/her delegate to implement the risk based compliance plan for the digital programs and strategic initiatives of Sun Life Hong Kong.
• Patronize the compliance director to coordinate the Digital Enterprise (DE) initiatives across HK and the primary contact in Asia and to establish the Risk and Control Capabilities for DE.
• Monitor the regulatory development that might impact the digital initiatives of the organization and facilitate the business to implement appropriate changes, following the direction of the BUCO or his/her delegates.
• Collaborate with the local compliance team and assurance parties to develop the compliance monitoring program by means of data initiatives or other fintech solution.
• Support supervisor to implement the corporate Compliance Risk Management Framework under the responsible areas.

Compliance Advisory

• Support the Director, Digital Insight and Strategic Initiatives to implement and furnish ongoing support on the new Governance Risk & Compliance (GRC) system as well as the reinforced Regulatory Compliance Management Framework (System implementation/Ongoing Support)
• Advise and assist business to resolve compliance concerns by means of digital compliance solution.

Compliance Monitoring

• Assist the Director to revamp the local monitoring process to meet the latest regulators expectations. Coach the rest of the team to implement the new monitoring framework

Compliance Assurance

• Deploy data analytics to buttress the compliance monitoring to achieve efficiency and enhance the compliance assurance.
• Assist supervisor to prepare the relevant compliance report following SL corporate governance and management oversight requirements.

Job Requirements

• Bachelor's degree with 5 years or above experience in insurance compliance; have typically completed professional designations.
• Specialised Knowledge: Requires knowledge of regulatory and distribution compliance in the insurance industry. Preferably with fintech exposure, IT audit and data analytics techniques. Working understanding of theory and principles in assurance monitoring.
• Able to work independently with minimum supervision
• Pro-active and be a team player
• Strong analytical abilities and good judgement
• Good interpersonal skills to work with various stakeholder
• Fluency in both spoken and written English with strong written skills
• Communicate effectively with people across the organization and regulators and ability to build cooperative relationships
• Familiar with the regulatory environment in Hong Kong