Associated Director, Compliance Management

• Assist the Head of Compliance to implement a robust compliance monitoring program to ensure that all local monitoring activities are properly identified, documented and performed under a risk-based approach with the monitoring results timely reported in accordance with the relevant local policies and procedures established under the IAMC’s Governance Framework as well as the applicable local regulations.
• Assist the Head of Compliance to address the licensing and other regulatory reporting requirements while demonstrating compliance with the relevant local regulations.
• Supervise the Compliance Specialist to implement the internal personal dealing requirements at the IAMC and monitor the personal dealing activities of the local Access Persons and their Associated Persons while demonstrating compliance with the relevant local regulations.
• Act as the local PTA system administrator for the IAMC.
• Address the disclosures of interest reporting requirements covering the corresponding local monitoring, communication and filing activities while demonstrating compliance with the relevant local regulations.
• Support the Head of Compliance in connection with his/her roles as the local anti-money laundering officer, local data privacy officer and local FATCA responsible officer while supervising the Compliance Specialist to implement the corresponding internal controls embedded in the relevant local policies and procedures (to be updated from time to time) in line with the applicable internal Group-wide requirements as well as the relevant local regulations.
• Offer regulatory compliance advice to the first line so as to support the first line to make informed decisions and to anticipate, assess, control and mitigate regulatory and reputation risks under the supervision of the Head of Compliance.
• Provide regular updates to the Head of Compliance on local regulatory developments and/or amendments so that appropriate follow-up actions could be taken by the relevant stakeholders in a timely and appropriate manner.
• Supervise the Compliance Specialist to perform post-trade compliance monitoring via the relevant local system (and/or the Group-wide centralised system) so as to demonstrate compliance with all applicable investment restrictions, requirements and limits as specified in the relevant internal, contractual, regulatory and/or statutory requirements.
• Review client investment mandate requirements on a regular basis to ensure that such requirements are appropriately and comprehensively documented to further facilitate post-trade compliance monitoring.
• Provide feedback and, where appropriate, acknowledgements to the first line responsible for setting up the corresponding automated (and/or manual) controls before such controls are implemented.
• Supervise the Compliance Specialist to perform second line trade oversight and market abuse monitoring and escalate any suspicious activities to the Head of Compliance so that appropriate follow-up actions could be taken in a timely and appropriate manner.
• Assist the Head of Compliance to prepare quarterly risk and compliance reports for submission to the Board of the IAMC, monthly investment compliance reports to Group Investment Compliance and other compliance reports as and when required.
• Assist the Head of Compliance to conduct compliance awareness sessions for the relevant staff members of the IAMC.
• Support the Head of Compliance to implement controls reasonably designed to demonstrate compliance with the Group’s Code of Conduct.
• Provide second line feedback on potential regulatory implications arising from breaches and errors (if any) as well as the corresponding preventative measures to be implemented in accordance with the local policies and procedures as well as the applicable local regulations.
• Manage independent fact-based investigations of breaches and errors in a timely and robust manner as and when required under the supervision of the Head of Compliance.
• Provide recommendations to the Head of Compliance on appropriate follow-up actions to be taken to rectify common breaches (if any) and to avoid recurrence (where applicable).
• Work closely with the local Legal & Governance team and the Internal Audit team on compliance-related issues.
• Liaise with the Investment Compliance Centre of Excellence team in Singapore as and when appropriate on matters relating to post-trade compliance monitoring, disclosures of interest reporting as well as the corresponding Group-wide centralized system(s).

• Bachelor's degree or above.
• At least 12 years of working experience in the financial industry, and at least 5 years of IAMC Risk & Compliance related work experience。
• Have good cross-departmental communication and coordination skills, management reporting skills。
• Excellent written and oral communication skills in both Chinese and English, able to stand alone and self-driven, and able to work under pressure.
• Possess strategic and logical thinking and certain leadership skills; Ability to respond to change and solve problems.
• Self-development, continuous growth, progress and innovation, cognition and behavior are in line with AIA's culture.

AIA