Sr. Specialist, Compliance Management

Shanghai
Permanent
Full-time

Just now

At AIA we’ve started an exciting movement to create a healthier, more sustainable future for everyone.It’s about finding new ways to not only better people's lives, but to better the communities and environments we live in. Encompassing our ambition of helping a billion people live Healthier, Longer, Better Lives by 2030.And to get there, we need ambitious people who believe in playing an important part in shaping that future. People seeking unmatched career and personal growth opportunities, who are driven to work with, and learn from some of the most inspiring and supportive leaders in the business.Sound like you? Then read on.About the RoleUnder the ‘Three Lines of Defence’ model implemented at AIA, execute risk and compliance programs to provide appropriate second line support to the first line by implementing controls embedded within local policies and procedures, and ensuring compliance with applicable local regulatory requirements.Roles and Responsibilities:

Proactively follow up with the local Access Persons in respect of their acknowledgement, disclosure and/or certification obligations in accordance with the internal personal dealing requirements.
Review account statements received from the local Access Persons (and their Associated Persons) to ensure that the transactions contained in such statements have fully complied with the internal personal dealing requirements as well as the applicable local regulations.
Perform post-trade compliance monitoring via the relevant local system (and/or the Group-wide centralised system) and take appropriate follow-up actions to address the corresponding post-trade system alerts with proper audit trails 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.
Conduct second line trade oversight and market abuse monitoring under supervision of the CCO &CRO.
Support the CCO &CRO to address the disclosure of interest reporting requirements.
Gather appropriate post-trade and other relevant investment compliance indicators for consolidation by the CCO &CRO in the relevant reports.
Perform local compliance monitoring activities as assigned by the CCO &CRO in line with the IAMC’s annual investment compliance plan.
Implement the internal controls embedded in the relevant local policies and procedures relating to anti-money laundering, data protection and FATCA.

Minimum Job Requirements: 

Bachelor's degree or above
At least 6 years of working experience in the financial industry, and at least 3 years of IAMC anti-money laundering 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.

Build a career with us as we help our customers and the community live Healthier, Longer, Better Lives.You must provide all requested information, including Personal Data, to be considered for this career opportunity. Failure to provide such information may influence the processing and outcome of your application. You are responsible for ensuring that the information you submit is accurate and up-to-date.

AIA

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