Sales & Agency Compliance Audit Manager - Regulatory Oversight
About the job
Join a leading global insurance firm as a Sales & Agency Compliance Audit Manager, ensuring strong internal controls and regulatory compliance across sales branches and independent agencies. This role plays a critical part in risk assessment, audit execution, and compliance strategy development, working closely with key business units to drive operational excellence.
Key Responsibilities
- Assess potential risks related to PA channel branches and IA/FI independent sales agencies.
- Conduct audits on PA channel branches and IA/FI agencies to evaluate internal control effectiveness and solicitation practices.
- Recommend corrective actions and track the implementation of compliance improvements.
- Collaborate with Compliance, Sales, and Operations teams to enhance compliance frameworks and risk management strategies.
Required Skills and Qualifications
Experience:
- 5-7 years in compliance operations, audit planning, and risk assessment related to life insurance solicitation.
- Background in managing sales branches or multi-agency offices.
Technical Knowledge:
- Strong understanding of industry regulations, including:Insurance Business Act
- Personal Information Protection Law
- Financial supervisory guidelines
Soft Skills:
- Logical thinking, integrity, adaptability, and a proactive mindset.
Language Requirements
- Japanese: Native (Required for regulatory and internal communication).
- English: Intermediate to Business level.
Preferred Skills & Qualifications
- Strong proficiency in basic PC skills.
- Willingness to travel for audits and compliance reviews.
About the Company
A global financial services provider specializing in insurance, wealth management, and investment solutions. Committed to innovation, customer focus, and long-term stability, the company fosters a collaborative environment where employees thrive.
Why You'll Love Working Here
- Supportive work culture that values innovation and leadership.
- Career growth opportunities in a globally recognized financial firm.
- Flexible work arrangements to promote work-life balance.
- Competitive benefits package aligned with industry standards.
- Strong leadership team driving compliance and regulatory excellence.
Don't Miss Out - Apply Now!
