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At AIA we've started an exciting movement to create a healthier, more sustainable future for everyone.
Sound like you Then read on.
About the Role
Responsible for ensuring compliance in the execution of investment activitiesPersonal Dealing compliance monitoring
Administer the Personal Dealing Standard/policy which includes but not restricted to : -
Review of broker account statements.
Review of monthly personal trading transactions.
Investigate any Personal Dealing breaches.
Perform, or support, the role of the Personal Dealing monitoring tool system administrator.
Electronic Communication Surveillance Monitoring
Review alerts generate from the surveillance system
Conduct investigation for potential market abuse alerts
Prepare incident report to senior management in the even of market abuse concluded upon investigation
Annual Investment Compliance Plan
To perform or carry out monitoring and assurance activities of our clients based on the annual Investment Compliance Plan
To ensure all monitoring activities performed are documented and supported.
Quality Assurance Assessment (QAA)
Carry out QAA based on annual plan prepared by GIRC
Conduct review of monitoring and assurance activities conducted by LBUs / AMCs, on a risk based approach
Prepare QAA report and provide recommendation on any findings / improvement areas
Ad-hoc activities:
Participate in ad-hoc team projects related to Investment Risk and Compliance reporting, initiatives and projects.
Job Requirement
Degree holder in Accounting, Finance, Economics or Business Management with a minimum of 6 years experience in investment compliance or related field.
Solid understanding of financial instruments
Hands on experience in conducting monitoring and assurance activities
Understanding of derivatives and private assets will be an advantage.
Knowledge of investment compliance framework, processes and systems.
Strong presentation and reporting skills.
Good communication skills
A highly articulate and consultative approach.
Technology savvy and detail oriented.
AIA Group Limited, often known as AIA , is a Hong Kong-based American multinational insurance and finance corporation. It is the largest public listed life insurance and securities group in Asia-Pacific. It offers insurance and financial services, writing life insurance for individuals and businesses, as well as accident and health insurance, and offers retirement planning, and wealth management services, variable contracts, investments and securities.
Job ID: 105587471
