Compliance Sr. Officer

Mô tả công việc

- Develop and maintain strong compliance risk management programs in partnership with the Business, including identifying significant compliance risks, evaluating the management of those risks and developing action plans to enhance controls where appropriate;
- Ensure that appropriate effective Compliance framework is in place for each distribution channel/product type;
- Ensure that policies and procedures are updated in accordance with ongoing regulatory developments, including tracking and communication of new regulatory and legislative requirements;
- Ensure that an effective compliance-related training and communication plan is designed, implemented and monitored;
- Ensure the business operates in compliance with applicable requirements that are in scope for the enterprise Compliance Risk Management Program.
- Ensure that products are designed in accordance with all applicable laws and regulations and with MetLife standards and that sales meet company requirements for suitability and are properly documented;
- Ensure that Sales/marketing materials are in compliance with all laws, regulations and company policies;
- Study trends, monitor industry practices/developments and advise leadership/provide guidance on ways to leverage those opportunities to drive business growth while upholding company reputation, ensuring compliance with laws & regulations and treating customers fairly;
- Ensure that customer complaints are properly handled by the 1st line and are reviewed to identify significant compliance issues and that such issues are properly addressed/corrected;
- Develop and implement compliance-related metrics and management reporting that will help with effective oversight and management of compliance risk;
- Ensure that effective mechanism to provide feedback to the business is in place and that corrective actions are taken to address any weakness, in a timely manner;
- Escalate immediately significant compliance issues to Vietnam’s Head of Compliance & Risk Management and to MetLife Asia’s Chief Compliance Officer;
- Work with Regional & Corporate Ethics and Compliance team to identify and adopt compliance best practices, ensure that MetLife standards are met in all areas and report significant compliance issues.