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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
LI-SF1
- Build a career with us as we help our customers and the community live Healthier, Longer, Better Lives._
