Senior Officer, Distribution Compliance

AXA Group; Hong Kong; On-site; HKD 400,000 - 560,000; Full time

Job summary

AXA Hong Kong and Macau is seeking a compliance professional to strengthen market conduct and regulatory frameworks. The role focuses on implementing group standards, preparing regulator reports, and delivering practical guidance to staff and intermediaries.

The candidate will lead investigations, monitor intermediaries, and develop training to ensure ongoing compliance with local and global requirements. Strong analytical, communication, and cross-team collaboration skills are essential.

Qualifications

• Bachelor degree holder.
• 4+ years of experience in distribution compliance, regulatory compliance or quality assurance.
• Knowledge of insurance products and regulatory requirements.
• Detail-oriented with strong analytical skills.
• Critical and independent thinking with proactive problem solving.
• Strong presentation skills and ability to engage diverse audiences.
• Strong communication and interpersonal skills to build cross-team relationships.
• Confidence when interacting with agency leaders, management and regulators.
• Ability to work under tight deadlines and stay composed under pressure.

Responsibilities

• Foster a good conduct and customer protection culture by implementing the relevant group standards.
• Assist in preparing meeting materials and performing data analysis for management meetings (e.g., Conduct Committee).
• Prepare monthly reporting to regulators and management with timely delivery and accuracy.
• Prepare clear and informative compliance communications for staff and intermediaries.
• Support QA reviews of sales practices to identify compliance risks and propose risk-mitigating actions.
• Oversee compliance monitoring of intermediaries’ business practices to ensure regulatory compliance.
• Offer practical compliance advice to business units regarding distribution functions and practices.
• Develop and deliver engaging compliance training to staff and distributors, emphasising regulatory standards on market conduct.
• Lead investigations related to market conduct and recommend disciplinary actions as necessary.
• Regularly review, update, and formulate compliance policies, procedures and manuals in response to regulatory changes and business developments.
• Address inquiries from intermediaries, regulators, law enforcement agencies, and auditors regarding compliance issues.
• Participate in regulatory projects and provide compliance advisory support.

Skills

Analytical skills

Critical thinking

Presentation skills

Communication skills

Interpersonal skills

Problem solving

Attention to detail

Stakeholder management

Education

Bachelor's degree

Job description

Responsibilities:

• Foster a good conduct and customer protection culture by implementing the relevant group standards
• Assist in preparing comprehensive meeting materials and performing data analysis for different management meetings (such as Conduct Committee)
• Prepare monthly reporting to regulators and management, ensuring timely delivery and accuracy
• Prepare clear and informative compliance communications for staff and intermediaries
• Support in conducting quality assurance reviews of sales practices to identify compliance risks and propose timely risk-mitigating actions
• Oversee compliance monitoring of intermediaries’ business practices to ensure compliance with regulatory requirements
• Offer practical and sound compliance advice to business units regarding distribution functions and practices
• Develop and deliver engaging compliance training to staff and distributors, emphasising regulatory and standards on market conduct
• Lead investigations related to market conduct, recommending appropriate disciplinary actions as necessary
• Regularly review, update, and formulate compliance policies, procedures, and manuals in response to regulatory changes and business developments
• Address inquiries from intermediaries, regulators, law enforcement agencies, and internal/external auditors regarding compliance issues
• Participate in regulatory projects and provide compliance-related advisory support

Qualifications:

• Bachelor degree holder
• A minimum of 4 years of experience in distribution compliance, regulatory compliance, fraud investigation or quality assurance
• Sound knowledge of insurance products and regulatory requirements
• Detail-oriented with strong analytical skills
• Ability to think critically and independently, with a proactive approach to problem-solving
• Good presentation skills, with the ability to clearly convey information and engage diverse audiences
• Strong communication and interpersonal skills, with a focus on building trust and fostering relationships across teams
• Confidence and maturity in interactions with agency leaders, management, and regulators
• Ability to work effectively under tight deadlines and remain composed in high-pressure situations

About AXA Hong Kong and Macau

AXA Hong Kong and Macau is a member of the AXA Group, a leading global insurer with presence in 52 markets and serving 92 million customers worldwide. Our purpose is to act for human progress by protecting what matters.

As one of the most diversified insurers in Hong Kong, we offer integrated solutions across Life, Health and General Insurance. We are the largest General Insurance provider and a major Health and Employee Benefits provider. Our aim is to not only be the insurer to provide comprehensive protection to our customers, but also a holistic partner to the individuals, businesses and community we serve. At the core of our service commitment is continuous product & service innovation and customer experience enrichment, which is achieved through actively listening to our customers’ needs and leveraging and investing in technology and digital transformation.

We embrace our responsibility to be a driving force against climate change and a force for good to create shared value for our community. We are proud to be the first to address the importance of mental health through different products and services and thought leading iconic research. Our overall Sustainability Strategy, with emphasis on climate strategy and biodiversity commitment, is developed based on TCFD recommendations. We are committed to integrating environmental, social and governance factors across our business and strive to contribute to a sustainable future through 3 distinct roles - as an investor, an insurer and an exemplary company.

AXA is an equal opportunity employer. We are committed to promoting Inclusion and Diversity (I&D) by creating a work environment where all employees are treated with dignity, respect, and where individual differences are valued. We welcome and treasure diverse profiles to join our big family, and to build an inclusive culture together which allows everyone to maximise their personal potential.

Our people strategies are designed to enhance employee well-being and professional growth, ultimately empowering them to excel within the company.