Risk & Compliance, Specialist (AIA FA)

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 Role
An experienced Compliance Specialist to join our collaborative team to provide support in developing and implementing regulatory compliance policies for AIA FA
Position Objective

• Responsible for the effective communication of market misconduct matters including timely and accurate reporting and/or escalation of such matters in accordance with relevant reporting and escalation protocols.
• Oversee the procedures to effectively deal with representative's misconduct, from receiving allegations to planning and conducting investigations to taking remedial/recovery actions
• Responsible for conducting investigations interviews with relevant stakeholders, obtain and assess evidence of alleged misconducts, and provides outcomes of investigations.
• To mete out disciplinary actions in accordance with the Company's Market Conduct Standards.
• To analyse common trends to identify high-risk representatives and sales groups and to conduct relevant portfolio reviews.
• Develop and implement an effective education and engagement program through ongoing communication and training to embed a culture of compliance and ethics.
• Performs other responsibilities and duties periodically assigned by supervisor.
  

Roles And Responsibilities

• Bachelor's degree holder with 3 to 5 years work experience in the financial industry handling distribution sales compliance.
• In-depth knowledge of Market conduct and/or Balanced Scorecard related regulations.
• CMFAS 5, 9 and HI certified is a plus.
• A highly disciplined and team player with the ability to work well with all stakeholders
• Keen eye for detail and good command of written and spoken English with excellent interpersonal skills.
• Ability to articulate thought processes clearly, concisely and effectively.
• Ability to multi-task and work well in high pressure environment to meet deadlines.
• A team-player with systematic problem-solving approach and have sense of ownership and drive.
  

Believe in better with AIA. If you work at AIA, you play an important part in this movement. Which is why we give you every opportunity to learn, grow and shape your career - your way
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.

ABOUT AIA

For over a century, AIA has served the ever-changing needs of our customers across Asia-Pacific. Our Purpose to help millions of people live Healthier, Longer, Better Lives is at the heart of everything we do.

As pioneering innovators, we're now transforming AIA to be faster, simpler and more connected to create better solutions and impactful experiences for our customers and communities. AIA encourages and enables our people to act with clarity, courage and humanity in service of our Purpose.

JOIN US

At AIA, we believe in empowering every one of our people to find their 'better' - in the work they do, the career they build, the life they live and the difference they make. Whether it's investing better wellbeing, inspiring better learning, building better relationships, or making a better impact on customers, a career at AIA will challenge you to find new ways to pursue your 'better'.

AIA is committed to building a vibrant, diverse, and inclusive workforce for all employees to thrive in. Join us if you believe in creating a better tomorrow

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance and Sales

• Industries

  Insurance

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