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To assist and be responsible for running the Market Conduct Compliance program for distribution channels by setting out procedure to enhance Market Conduct Compliance control and monitoring program regarding to Group Compliance policies, and also provide compliance consultation/advice to business process owners and relevant parties i.e. intermediaries, operations, etc.

Group Compliance Policy Implementation

• To assist implementation of gap assessment and coordinate with relevant business units for action plans for gap closures on Market Conduct Compliance related policies & standards as required by Group Office. Ensure the implementation of action plans do not breach local regulations.

Compliance Monitoring Program

• To oversee Market Conduct Compliance monitoring program regarding Market Conduct Compliance policies and standards with relevant business units to ensure compliance with the policies taken into consideration of recommendations on process improvements/ enhancement within relevant business units.

Compliance supports to business units

• To support relevant business units and provide consultation on general compliance issues and Market Conduct Compliance related issues and relevant applicable regulations and provide comments/advices on relevant materials to ensure that they are in compliance with regulatory requirements and not misleading to external parties, i.e. training materials, announcement, booklet, etc.

Compliance Review/ Assurance and reporting

• To perform Compliance review / Quality Assurance on related Market Conduct areas to ensure compliance with applicable policies & standards as well as relevant regulations and provide reports to management and relevant stakeholders with recommendations.

Any other jobs

• Other jobs assigned on ad-hoc basis.

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