Senior Executive / Executive, Monitoring & Surveillance
Core
Ensuring insurance sales and advisory activities comply with regulatory requirements and internal quality standards through ongoing monitoring and surveillance.
Role type
Senior IC compliance and quality assurance specialist (insurance sales)
Builds
Regulatory compliance assurance and quality control processes for sales representatives
Domain
Insurance / Financial Services / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
regulatory inspection and audit management, trend analysis of conduct risk, quality assurance review execution, policy and SOP maintenance, agency supervisory coaching, project management
Preferred skills
CMFAS Module 5, 9, 9A, Certificate in Health Insurance
Technologies
T&C Manual, Compliance & Competency Playbook, annual competency exercise materials
Responsibilities
Support planning and implementation of T&C workplan, handle regulatory inspections and audit queries, conduct annual reviews of T&C policies and SOPs, perform quality assurance reviews on supervisory duties including pre-transaction client callbacks, work with Agency Management to ensure adherence to T&C Manual, design and maintain T&C materials
Seniority
Senior, hands-on IC