FIND YOUR 'BETTER' AT AIA

We don’t simply believe in being ‘The Best’. We believe in better - because there’s no limit to how far ‘better’ can take us.

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. So that together we can support even more people - including our own - to live Healthier, Longer, Better Lives.

If you believe in better, we’d love to hear from you.

About the Role

• To utilise technology and centralised systems to perform second line investment compliance monitoring activities and demonstrate compliance with applicable investment standards, policies and procedures by providing feedback and monitoring results to Group Investment Compliance and the relevant Country Investment Compliance Leaders (“CICLs”);

• To provide support on discharging applicable group-wide disclosure obligations, such as substantial shareholding reporting and other investment compliance initiatives to further enhance internal controls; and

• To provide support on performing trade surveillance like Best Execution, Market Manipulation monitoring etc.

Post-Trade Compliance Monitoring

Performing and coordinating daily post-trade investment compliance monitoring activities through relevant Bloomberg/Aladdin modules.Proficiency in guidelines interpretation, compliance rules coding, account review.Understanding of how daily post-trade investment compliance monitoring activities are performed through relevant Aladdin Compliance dashboard.Identification of incorrect coded rules and suggest how to interpret and correctly code the rules.Ability to work in the fast-paced environment with strict deadlines.Understanding of pre trade and post trade compliance, implications of various categories of rule types, pre trade and post trade monitoring, generation of reportsDeveloping and maintaining second line trade oversight and market abuse monitoring (equities and fixed income) via Bloomberg Transaction Cost Analysis module or any other systems.Investigate and report breaches to ensure timely rectification.Prior experience of rule coding on Bloomberg and Aladdin (preferred)

Personal Dealing Compliance Monitoring

Administer the Personal Dealing Standard/policy which includes but not restricted to -Review of broker account statements.Review of monthly personal trading transactions.Investigate any Personal Dealing breaches.Perform, or support, the role of the Personal Dealing monitoring tool system administrator.

Annual Investment Compliance Plan and Quality Assurance

To perform or carry out monitoring and assurance activities of our clients based on the annual Investment Compliance PlanTo ensure all monitoring activities performed are documented and supported.To support Group Investment Compliance in conducting Quality Assurance on monitoring and assurance activities carried out by Local Business Units and Asset Management Companies

E-Communication Surveillance

To carry out monitoring and surveillance on alerts generated in the surveillance system.Understand the lexicons and jargons used by investment teams to enhance the lexicon universe.Document trails and participate in investigations for potential market abuse incidents.

Ad-hoc activities:

Participate in ad-hoc team projects related to Investment Compliance initiatives and projects.Preparation of presentation slides as and when required.Present relevant decks to Senior management or stakeholders.Co-ordinate with Internal Audit or other stakeholders in terms of providing them information as and when requested.Provide training to peers, stakeholders and employees

Job Requirements :

Degree holder in Accounting, Finance, Economics or Business Management with a minimum of 8 years’ experience in investment compliance or related field.Solid understanding of financial instruments including derivatives.Understanding of Private Equity Investments will be an advantage.Strong knowledge of regulatory environment (MAS, UCITs, HK SFC, FATCA etc).Experience in conducting quality assurance and compliance monitoringExperience in communication surveillanceKnowledge of investment compliance systems.  Strong presentation and reporting skills. Fluency in English, other languages (Mandarin, Cantonese, Thai and Tagalog) are added advantageStrong project management skills to support investment compliance initiatives and projects.Knowledge in Shield /BBG /Aladdin/ Starcompliance systems will be an added advantageA highly articulate and consultative approachTechnology savvy and detail oriented

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.