Investment Compliance, Consultant

Build a healthier and more sustainable future for everyone.

About the Role

To support the Associate Director, Investment Compliance to ensure that all investment activities carried out by the AIA Bhd. Investment Management Team and AIA Pension & Asset Management Sdn. Bhd. are in accordance with the AIA Investment Governance Framework, AIA Group policies / standards and local regulatory requirements.

Roles and Responsibilities:

1. Conduct and oversee investment compliance monitoring in accordance with the Annual Investment Compliance Plan, Investment Compliance Monitoring Procedures, applicable regulations, and AIA Investment Standards to ensure investment activities of funds managed by AIA Bhd., AIA Public Takaful Bhd. (APTB), AIA General Berhad (AIAGB) and AIA Pension and Asset Management Sdn. Bhd. (APAM) remains compliant with internal and regulatory requirements.

2. Review, acknowledge, and assess routine pre-trade alerts in accordance with approved operating procedures, investment mandates, and established regulatory interpretations, escalating complex or material exceptions where appropriate.

3. Review and assess proposed compliance rule changes and monitoring parameter updates, including evaluating their impact on regulatory compliance, investment mandates, operational processes, and overall monitoring effectiveness, and provide recommendations for implementation.

4. Manage the communication surveillance programme for the AIA Bhd. Investment Management Team, including monitoring conducted through Bloomberg Vault and other approved surveillance tools, and ensure potential misconduct, conflicts of interest, or policy breaches are appropriately investigated and escalated.

5. Lead the assessment, investigation and resolution of investment compliance breaches, exceptions, and control deficiencies, including root cause analysis, coordinating remediation efforts with relevant stakeholders, and monitoring of corrective actions to ensure timely and effective resolution of issues.

6. Review investment-related marketing materials and disclosure materials, including Monthly Fund Performance Updates, Fund Fact Sheets, and other investment communications for Investment-Linked Funds to ensure disclosures are fair, balanced, accurate, and compliant with applicable regulatory requirements and internal standards.

7. Maintain effective engagement with the AIAGB Compliance team and other stakeholders to support the implementation of Group Investment Compliance initiatives, regulatory changes, and compliance controls within the local investment process.

8. Provide compliance advisory support to the Investment Management team and other stakeholders on investment-related matters, including regulatory requirements, internal policies, investment restrictions, and compliance risk considerations. Promote awareness of regulatory developments, ethical standards, and compliance obligations through ongoing engagement and guidance.

9. Support the continuous enhancement of investment compliance processes, monitoring frameworks, and controls, including participation in system enhancements, automation initiatives, and regulatory change projects.

10. Act as the Business Continuity Coordinator for the Investment Compliance team and support the implementation and periodic testing of business continuity arrangements.

11. Provide guidance and support to team members, and perform other responsibilities and duties periodically assigned by the supervisor to meet operational, regulatory, and/or business requirements.

Minimum Job Requirements:

• Possess a Bachelor's Degree in Accounting / Finance / Business / Actuarial Science / Law.
• A CFA level certification or at an advanced stage of completion will be an added advantage.

• Minimum 3 years working experience in the field of investment / compliance in fund management / unit trust / insurance industry.

• Good understanding of investment compliance and regulatory obligations and their application into business processes.

• Working knowledge of Bloomberg Compliance Manager (CMGR), Bloomberg Transactions Cost Analysis (BTCA) and/or Aladdin system.
• Strong managerial and leadership skills.
• Good interpersonal and communication skills. Self-motivated, independent, and sound problem-solving skills.
• Pro-active, demonstrates initiative & looks for area of improvement.
• Excellent computer skills i.e. Microsoft Office MS Excel, Word, PowerPoint, Power BI.
• Good written and spoken communication skills in English.
• Strong analytical and presentation skills

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