Responsible for providing support in carrying out Distribution Compliance Controls Testing and monitoring functions in Asia.
Support and implement the annual testing plan approved and provide feasible solutions to address issues identified or recommendations to improve the business process and set up best practices.
Kick-off, preparation of detailed testing templates, questionnaires, gathering of information and data from the testing subjects for review and analytics, follow up questions and outstanding information, creating high quality working papers and drafting of testing reports.
Assisting in the preparation of training materials and presentation decks for management when required.
Research regulations by reviewing regulatory bulletins and other sources of information.
Maintain good working relationships with regulatory personnel and stakeholders by consistent communication and in resolving concerns.
Plan and coordinate operational activities and guarantee compliance with rules and regulations.
Document workflows and process narratives of testing activities being performed.

2-3 years of experience in Compliance, testing, banking, internal or external audit background.
College/University Degree and/or equivalent experience in Accounting, Legal, Finance, Business or related fields.
Any related financial services experience.
Background on insurance operations, sales, insurance agency (or tied agency), or auditing an insurance agency/firm.
Experience in investment management.
Solid written and verbal communication skills.
Solid technology skills; knowledge of or ability to learn applicable compliance or business systems.

We’ll empower you to learn and grow the career you want.
We’ll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
Support in shaping the future you want to see.

Compliance Testing Analyst

Key skills