Risk & Compliance, Specialist (AIA, FA)
1 week ago
Job Description Summary
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.
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