Distribution Compliance Senior Supervisor

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Job Description

Job Purpose: Handles & investigates all violations of Sales force (SF) in assigned regions to protect benefits of customer as well as company; to prevent and minimize the fraud risk of SF; to educate the SF on codes of conduct, rules, regulations and Company guidelines.


  • Effectively handle all violation cases of SF in assigned regions.
  • Monitor the SF to comply with the codes of conduct, rules, regulations and Company guidelines.
  • Educate and keep SF informed in compliance with the codes of conduct, rules, regulations and Company guidelines.
  • Work with local Police to handle the serious violations of SF

Key responsibilities

  • Investigate all violations of SF on time (meet the TAT) and comply with regulations & processes.
  • Propose disciplinary actions on SF who has breached the code of conducts rules, regulations and Company guidelines (corrective actions).
  • Support DC Leaders in conducting DC road shows, sharing…etc .
  • Suggest ideas to improve the procedures, processes, guidelines which relate to handling SF violations
  • Support DC Leaders in conducting preventive actions: spot checks on SF’s activities…etc
  • Others: to be assigned by the Line manager or Company’s management (if any)

Job Requirements


  • Bachelor’s degree in Law/Economics/Finance/Banking.
  • Lawyer is preferred.


  • 2 – 3 year experiences in Compliance/law/legal or relevant field.
  • Life insurance is preferred.

Knowledge and skill set:

  • Investigation skill
  • Interview skill
  • Good problems analysis & solving.
  • Time management
  • Good communication, negotiation and presentation skills.
  • Proactive, hard-working & integrity.
  • Good in English writing.
  • Good computer skill (Excel, Word and Power Point).

Job’s attributes:

  • To ensure timeliness and quality of work done.

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