Compliance, Specialist
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
Responsible to provide support to the registered Compliance Officer of APAM and work as a second line of defense in partnership with the business (as first line of defense) to ensure that all regulatory and market conduct risk is efficiently and effectively assessed, mitigated and controlled and that a culture of ethics and compliance is developed and maintained in respect of the organization’s business in support of APAM’s profitability and sustainable growth objectives.
Implementation of compliance program- Support the implementation and ongoing enhancement of the APAM's Compliance Program that is focused on Anti-Money Laundering ("AML"), regulatory, investments, product and sales (market conduct) compliance, whilst ensuring its alignment with business objectives, AIA Group Operating Principles and Group Compliance's strategic direction.
- Support the implementation of an effective compliance risk assessment program for APAM and engage with key business stakeholders.
- Implement an effective education program through ongoing communication and training to embed a culture of compliance and ethics within APAM.
- Responsible for the effective communication of compliance matters including timely and accurate reporting and/or escalation of such matters in accordance with relevant reporting and escalation protocols, including regular reporting to the registered Compliance Officer of APAM on compliance risk, issues and activities.
- Responsible to perform compliance reviews on business units, departments and branches/sales offices.
- Support the development of structural approach and procedures to effectively deal with suspected instances of compliance policy violations by employees and/or fraud and misappropriations by intermediaries, from receiving allegations to planning and conducting investigations.
- Perform other responsibilities and duties periodically assigned by the supervisor/APAM Compliance Officer in order to meet operational and/or other requirements.
Job Requirements:
- • Bachelor’s degree in Accounting, Finance, Law or Business with 5 years solid
- work experience in the financial industry handling compliance and/or controls.
- • Preferably passed Module 9 (Funds Management Regulation), Module 10
- (Asset and Funds Management) and Module 11 (Fundamentals of Compliance)
- of Securities Commission Malaysia Licensing Examination.
- • In-depth understanding of the fund management business and regulatory
- development, in lieu of financial services.
- • Good interpersonal and communication skills and self-motivated.
- • Good written and spoken communication skills in English and local language.
- • Independent and be able to work under pressure.
- • Be organized, detail-oriented and analytical.
- • Possess leadership, coaching and influencing skills; business acumen; problem
- solving skills.
- • High level of integrity and take ownership and accountability of results.
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.