Head of Compliance

6 days ago

กรงเทพมหานคร, Thailand Combined Insurance Full time

This position serves as the Head of Compliance for Chubb Life Thailand and is principally responsible and accountable for providing compliance services to Chubb Life Thailand.

The position reports directly to the Country President of Chubb Life Thailand, and matrix reports to the Chubb Life Global Chief Compliance Officer based in Hong Kong.

**Responsibilities**:
The strategic vision of Chubb Life Compliance is to build a credible, relevant, proactive and innovative function to work with leadership, management and employees to achieve compliance ownership, accountability, responsibility and transparency across the business. This requires leadership as well as sound technical and behavioural competencies to handle complex matters and work with colleagues at all levels in a matrix environment.

The specific responsibilities of the Head of Compliance include but are not limited to the following:
**_Leadership _**
- Provide strategic and technical Compliance leadership, training and support to local management, business owners and the Compliance team.
- Promote and foster a positive compliance culture and risk mindfulness, including Line 1 understanding, ownership and accountability for compliance responsibilities in line with Chubb’s Three Lines of Responsibility model.
- Influence and drive active and visible commitment and engagement by leadership, management and employees for compliance ownership and mindset.
- Manage the Compliance team effectively including ensuring clear roles, responsibilities, performance expectations and measurements, and drive efficiency, productivity, and continuous improvements through feedback, coaching and training.

**_Implementation of Compliance Management Program _**
- Implement a proactive and effective compliance management program in line with the Chubb Compliance Operating Model.
- Develop annual strategic Compliance Plan (including an annual Awareness, Communication and Training (“ACT”) Plan and a Monitoring Plan) in consultation with direct and matrix stakeholders, which incorporates execution priorities that support the achievement of business and functional strategies and objectives.
- Collaborate and work with and assist Line 1 to implement controls, procedures and processes to comply with external and internal compliance obligations, including advising on how best to achieve compliance and ensuring that controls are effective and efficient in both design and operation.
- Advise leadership and business owners and collaborate with Legal to implement the requirements of the Chubb Business Compliance Framework.
- Implement a robust Line 2 monitoring and assurance program covering corporate and distribution compliance to proactively identify specific and systemic compliance risks, and support business owners to design and implement effective solutions.
- Escalate, record, and report issues timely and in accordance with Chubb requirements.
- Conduct investigations, prepare reports and provide advice and guidance to management and staff regarding remediation actions.
- Advise and assist to design remediation actions to address compliance control failures or weaknesses, track and follow up on action items to ensure that required actions are completed properly in a timely manner, and report progress to stakeholders.
- Manage regulatory relationships professionally and efficiently.
- Oversee, manage and support the Anti-Bribery and Corruption, Anti-Money Laundering, Trade Sanctions and other programs.
- Provide Compliance reviews and sign offs on new projects, initiatives and products.
- Prepare Compliance reports, including reports to management and the board, and other materials as required by direct and matrix stakeholders and submit timely.
- Translate documents and materials as may be required from time to time.

**Knowledge and Skills**:

- **Qualification**:Degree holder in Law, Audit, Business or other relevant discipline. Minimum 8-10 years’ relevant experience, preferably with experiences in life insurance compliance, agency compliance, financial services or internal audit. Experience in a US multinational and matrix environment advantageous.
- **Professional Knowledge and Experience**:In-depth knowledge of life insurance operation and compliance matters preferred / highly advantageous. Experience and knowledge of local and relevant US laws and requirements (Foreign Corrupt Practices Act, Trade Sanctions (OFAC)), insurance, regulatory, governance, compliance risk management, regulatory relationship management.
- **Leadership**:Strategic, with ability to influence leaders and management in setting the right tone, and colleagues to work willingly to accomplish objectives and goals; able to lead by example and motivate team.
- **Drive**:Self-motivated with ability to achieve results directly and by working with diverse groups of individuals at all levels in a matrix environment, while maintaining the ability to adapt to changing priorities and circumstances.

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