Director, Compliance

Job Purpose:

The role is responsible for leading and overseeing Conduct and Anti-Fraud programs to ensure robust compliance across Sun Life Vietnam. This role supports organizational objectives and reports directly to the Chief Compliance Officer.

Major accountabilities:

1.Conduct and Fraud Risk Management

• Direct Conduct and Fraud Risk Management programs, ensuring operational efficiency and strict adherence to regulatory and internal standards.
• Evaluate, challenge, and continuously enhance controls to effectively mitigate conduct and fraud risks.
• Develop and deliver training and awareness programs for employees and advisors, promoting best practices in conduct and fraud risk management and ethical behavior.
• Report conduct and fraud-related issues and emerging trends to senior management, regional, and corporate offices, ensuring transparency and accountability throughout the organization.

2.Leadership

• Provide strategic direction and leadership to the Conduct and Fraud Risk Management team, fostering a culture of integrity, collaboration, and continuous improvement.
• Coach, mentor, and develop team members to enhance compliance capabilities and support professional growth.
• Promote employee engagement, recognition, and inclusion, ensuring a positive and high-performing team environment.
• Set clear goals and expectations, monitor performance, and drive accountability for results.
• Represent the Compliance function in cross-functional projects and committees, advocating compliance priorities and best practices.

3.Digital Transformation

• Champion the adoption of digital solutions and innovative technologies to strengthen compliance processes and risk management frameworks.
• Leverage data analytics and advanced reporting tools to identify trends, early warning indicators, and actionable insights in conduct and fraud risk.
• Drive continuous improvement and process innovation by integrating digital capabilities into compliance operations.
• Encourage a mindset of digital agility and continuous learning within the team, ensuring readiness for evolving regulatory and business landscapes.

4.Undertake additional tasks assigned by management.

Professional knowledge and skills:

• Demonstrated proficiency in developing innovative solutions to enhance Conduct and Fraud Risk Programs.
• Strong strategic leadership abilities, with expertise in digital transformation initiatives.
• In-depth knowledge of compliance regulatory requirements and best practices in conduct and fraud risk management.
• Advanced competency in reporting, technology utilization, and data analytics to provide insights into risks and trends.
• Exceptional analytical skills, with meticulous attention to detail.
• Superior communication and interpersonal skills for effective collaboration with colleagues and stakeholders.
• Proactive problem-solving capabilities and a commitment to continuous improvement.
• Results-oriented mindset, leveraging quantitative and qualitative data to inform recommendations and drive outcomes.
• Excellent communication skills in both Vietnamese and English, encompassing listening, speaking, reading, and writing.

Problem solving:

Strong analytical and critical thinking skills for handling complex conduct and fraud issues, guiding the team to address challenges promptly.

Education and experience:

• Bachelor's degree in law, Accounting, Auditing, or Finance.
• At least 10 years of progressive experience in business quality, compliance, internal audit, or risk management within the financial services industry.
• Aptitude and interest to lead and transform through technology and digital solutions.
• Proven experience and understanding of conduct and fraud risk compliance principles as applied to financial services, preferably with a focus on the insurance sector.
• Insurance related certificate (LOMA AIRC) and Certified Fraud Examiner (CFE) is a plus.

Communication:

• Enterprise and Regional Team
• Vietnam Senior Leadership Team
• Sun Life Vietnam business, including Sales, Operations, Legal, HR and other corporate functions

Total number of direct reports:
2

Total number of staff managed (direct and indirect):
4