Market Conduct Surveillance, Assistant Manager

Overview

Support the Head of Compliance in managing the Company's compliance risk which can be defined as the risk of legal or regulatory sanctions, financial loss, or loss of reputation as a result of its failure to comply with all applicable laws, regulations and codes of conduct.

Work with Management to identify and manage market conduct risk and to ensure internal controls are put in place to mitigate compliance risk.

Key Duties & Responsibilities

• Primarily responsible for investigation of complaints and internal escalations related to any non-compliances in the first line of defense including intermediaries and to table the investigation reports at the Complaints Committee and / or Joint Market Conduct Committee.
• Responsible for driving, managing and monitoring the implementation of compliance framework and controls.
• Responsible for promoting the culture of ethics and compliance in the Company including providing awareness and training to employees and intermediaries.
• Responsible for conducting compliance reviews to ensure first line of defense comply with applicable laws, regulations, guidelines, internal policies and procedures as well as TMA's and TMHD's policies, procedures, guidelines and frameworks.
• Responsible for providing guidance and coaching to other team members in Compliance Department and governance functions in the Company.
• Any other responsibilities or duties assigned by the Head of Compliance / Management from time to time.

Requirements

Company overview

Tokio Marine Life Insurance Malaysia Bhd. (TMLM) is an integral part of the Tokio Marine Group, holding a legacy of over 75 years in Malaysia. Today, with 16 branches nationwide, TMLM is dedicated to delivering innovative life insurance solutions, ranging from financial security to wealth enhancement, and to legacy planning. Our aim is to be the preferred life insurer trusted for generations.

Tokio Marine, established in 1879 as Japan's pioneering insurance company, has evolved into one of the leading insurers with established networks worldwide, offering an extensive selection of Life and General insurance products and solutions in 46 countries / regions worldwide.

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