Compliance Specialist - Market Conduct and Fraud

Sun Life


Date: 4 hours ago
City: Taguig
Contract type: Full time
You are as unique as your background, experience and point of view. Here, you’ll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll have new and exciting opportunities to make life brighter for our Clients - who are at the heart of everything we do. Discover how you can make a difference in the lives of individuals, families and communities around the world.

Job Description:

Job Description

  • The Compliance Specialist will be responsible to ensure that the company's Compliance Market Conduct and Fraud programs are stable across all business units or entities.

Preferred Skills

  • Team Player
  • With good oral and written communication skills
  • Ability to work with minimum supervision
  • Highly organized and self motivated
  • Ability to work under pressure

Qualifications

  • College graduate with experience on handling market conduct and fraud investigation and reporting; testing, or risk assessment preferably in a life insurance or other related financial services industry.

Responsibilities

  • Handling of complex complaints from internal escalation, clients, external legal counsel, and the regulator, including distributor fraud cases
  • Monitoring of each entities governance unit to ensure that market conduct and fraud handling requirements are carried out in their respective functions.
  • Maintenance of complaints database and updating of offenses in the agent information system;
  • Compliance and Ethics Committee administration;
  • Annual Branch Reviews of new business offices and randomly selected advisors and managers.
  • Conducting Risk Assessments on Market Conduct and Fraud.
  • Annual market conduct compliance testing on key processes, i.e., sales process, sales monitoring, etc.
  • Preparation of monthly complaint reports to Management.
  • Fraud Monitoring and Reporting.
  • Reporting to Regulator of advisors for inclusion in the Negative List.
  • Review and updating of operating guidelines or charter;
  • Provides overall guidance on market conduct and fraud awareness through training, discussions, and orientation to different business units and select branches as a result of the branch reviews; and
  • Provides clearances to resigning, cancelled and come-backing advisors.

Job Category:

Compliance

Posting End Date:

30/12/2025

How to apply

To apply for this job you need to authorize on our website. If you don't have an account yet, please register.

Post a resume

Similar jobs

Senior Lease Analyst

Cushman & Wakefield, Taguig
10 hours ago
Job TitleSenior Lease AnalystJob Description SummaryThe Senior Lease Analyst is responsible for all aspects of Lease Administration (Lease abstraction, Quality review, Portfolio management) and to work as part of or managing a team ensuring efficient and accurate accounting of client data records, rent processing and reporting requirements.Job DescriptionJob DescriptionAbout The RoleMaintain the database by updating records when a lease or...

Creative Design Executive (Fixed Term Contract)

Cushman & Wakefield, Taguig
12 hours ago
Job TitleCreative Design Executive (Fixed Term Contract)Job Description SummaryCushman & Wakefield is seeking a Creative Design Executive on a 2-year fixed-term contract to join our Creative & Design Services team. In this role, you will play a key part in delivering high-quality design solutions that support business development initiatives across the region. Working closely with colleagues and stakeholders, you will...

Fiduciary Associate Manager

Wells Fargo, Taguig
1 day ago
About This RoleWells Fargo is seeking a Fiduciary Associate Manager. We believe in the power of working together because great ideas can come from anyone. Through collaboration, any employee can have an impact and make a difference for the entire company. Explore opportunities with us for a career in a supportive environment where you can learn and grow.In This Role,...