Responsibility:
Process support:
• Conduct and complete all compliance due diligence required for each requested dealers (including but not limited to contract dealers and sub-dealers), essential communication with all related parties (including but not limited to sales and dealers, central channel, and dealer compliance team) for risk assessment and follow up actions.
• Help sales managers for risk determination tools (RDT) understanding, communication and follow up actions.
• Coordinate the related parties (including but not limited to sales and dealers, and central channel) for contract dealers monitoring follow up (explain to sales and contract dealer, information round-trip).
• Coordinate the related parties (including but not limited to sales and dealers, and central channel) for contract dealers onboarding/renewal/amendment/offboarding workflows related to compliance reason and documentation for adherence to Independent Third Party (“ITP”) compliance policy.
• Perform any required communication/coordination in red flag issue for contract dealer and sub dealers.
• Participate in internal review board meeting or escalated conversations as necessary, such as red flags or compliance related issue.
• Maintain dealers red flags tracking and analysis.
• Communicate and work with sales, Channel team and Compliance team about the major changes impacting the dealer engagement (such as change of control).
• Implement SOP related to ITP compliance.
• Other tasks assigned by direct manager.
Compliance training:
• Collect training list, coordinate any required live training to dealers and GEHC internal employees about ITP Compliance policies. Make sure annual dealer compliance training, target 100%.
• Facilitate compliance training.
