Distribution Risk and Compliance Manager
Core
Ensure distribution channels remain compliant with regulations and manage risks associated with internal and external outsourcing activities.
Role type
Distribution Risk and Compliance Manager
Builds
Compliance frameworks, risk assessments, regulatory reports, and governance oversight for distribution channels.
Domain
Financial Services / Insurance / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory knowledge, risk management, project management, cross-functional collaboration, stakeholder management, compliance reporting, third-party oversight, market conduct analysis, corrective action planning
Preferred skills
Experience in regulated financial institutions, ability to translate regulatory requirements to business teams, adaptability to fast-paced environments
Technologies
N/A
Responsibilities
Maintain oversight of Group compliance framework and fit/proprietary standards; Conduct risk assessments for distribution channels and monitor representative activity; Review customer complaints and investigations to identify risks and trends; Review third-party training and marketing materials for compliance; Review distribution agreements with third-party providers; Ensure accurate and timely submission of regulatory reports; Oversee internal and external outsourcing activities; Provide guidance on market conduct and distribution ethics; Report to governance forums.
Seniority
Mid-Senior, hands-on IC