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
Accountable for handling APAM's Compliance Department, which works as a second line of defense in partnership with the business (as the first line of defense) to ensure that all regulatory and market conduct risk is efficiently and assessed, mitigated, and controlled, and that an ethics and compliance culture is developed and maintained in relation to the organization's business in support of the company's profitability and balanced growth objectives.
This job collaborates closely with APAM's Senior Management Team (SMT), supervising and reporting on the results of compliance and ethics efforts, as well as mentoring the SMT on compliance issues.
Job Responsibilities
Implementation of compliance program
- In charge for the overall design, implementation and ongoing improvement of the Company's Compliance Program that is passionate about 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.
- Supervise the implementation of an effective compliance risk assessment program for the Company and engage with key business partners which includes but not limited to: a) being a member of or otherwise working closely with the SMT to ensure key regulatory and ethical risks (including emerging risks) are identified and handled and Compliance resources are appropriately advised and; b) working with relevant functions (e.g. ERM, Internal Audit, Finance and Legal) to build up and/or implement a risk control framework and provide quality and solutions-focused advice on risk and control issues relevant to the business units for informed decision-making on compliance and ethics matters.
- Represent APAM Compliance in Group Compliance initiatives through active participation and liaison work.
- Accountable for the development of relevant compliance policies and procedures vital to carry the objectives and values of the Company and for execution of corporate (AIA Group) policies/standards and process to handle corporate-level regulatory risks.
Implementation of culture of compliance and ethics programs
- Develop and implement an effective education program through ongoing communication and training.
Reporting and monitoring (as second line of defense)
- Responsible for the effective communication of compliance matters including timely and accurate reporting and/or issue of such matters in accordance with relevant reporting and issue protocols, including regular reporting to SMT of APAM and Board or relevant Board Committees on compliance risk, issues and activities.
- Supervise compliance reviews performed on business units, departments and branches/sales offices and provide validated support to the monitoring program and assurance on the implementation of remedial actions on any non-compliance issues.
- Develop or coordinate development of structural approach and procedures to optimally 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.
Staff Development (where applicable)
- Responsible for structuring, leading, mentor and developing the compliance team to improve and strengthen the compliance leadership within the Company to support the business.
Others
- Perform other responsibilities and duties periodically assigned by the supervisor in order to meet operational and/or other requirements.
Job Requirements
Education : Tertiary qualification in Accounting, Finance, Law or Business.
Work Experience : 10 years work experience in the financial industry handling compliance and/or controls.
General Requirements
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.
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. 
