Market Conduct Compliance, Consultant

2 weeks ago

Hong Kong, Hong Kong SAR China AIA International Limited. Full time
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

Support the Associate Director, Market Conduct Compliance to ensure that AIAHK & Macau operates in accordance with the AIA Group policies and guidelines and local regulatory requirements in the following SME areas and towards this end, driving and supervising implementation of compliance framework in these areas:
• Assist in the Market Conduct Committee, Appeal Board and preparing the relevant reporting
• Manage the Data Analytic tool
• Assist in support in Law Enforcement and Regulators' request
• Compliance reporting and review in relation to market conduct issue
• Assist in relevant Group policies and guidelines in local aspect

Roles and Responsibilities:

Assist in the Sales Intermediary Disciplinary Committees including Market Conduct Committee (MCC), Appeal Board (AB) and preparing the relevant reporting
  • Coordinate the MCC and AB agenda, meeting schedule, materials
  • Facilitate the MCC and AB meetings
  • Update and maintain the Terms of reference of the MCC and AB
  • Coordinate the communication of the MCC and AB decision
  • Prepare the disciplinary letters for sales intermediaries
  • Provide compliance advice to the investigation team
  • Follow up the execution of the MCC and AB decision and relevant remedial actions
  • Prepare the relevant reporting on the disciplinary.
  • Assist the Associate Director, Market Conduct Compliance to improve the disciplinary process
  • Ensure the MCC and AB comply with Group Standard
Support the Sales Compliance detection and monitoring programs including data analytic and detection
  • Use the data analytic tool to supervise trends of sales conduct and identify high risk cases for investigation.
  • Conduct investigation for high risk sales intermediary
  • Conduct Compliance review and monitoring (e.g. sampling) on the sales intermediary controls
Assist in relevant Group policies and guidelines in local aspect
  • Assist Associate Director, Market Conduct Compliance to coordinate the relevant controls, investigation and reporting process with relevant departments according to the Group Guidelines
Sales Compliance reporting and Review
  • Prepare the required sales compliance report
  • Fraud Investigation Review
  • Review of Market Conduct issue
Assist in the support of Law Enforcement and Regulators' requests
  • Provide case request documents to Law Enforcement
  • Provide regulators' requested information
Other tasks
  • Ad hoc tasks assigned by Associate Director, Market Conduct Compliance e.g. policy review and investigation, conduct risk related follow up
  • Backup roles of other teammates
  • Reporting tasked by Associate Director, Market Conduct Compliance
Minimum Job Requirements:
  • Bachelor's degree in Accounting, Finance, Law or Business with a minimum of 5 years proven working experience in the financial services industry focused on compliance, legal and/or internal controls
  • Professional qualification in life insurance, Compliance, Internal Audit or related disciplines is preferred
  • Investigation and data analytic experience is an advantage.
  • In-depth understanding of insurance business is preferred
  • Good interpersonal and communication skills and self-motivated.
  • Good written and spoken communication skills in English and Chinese.
  • Independent and be able to work under pressure
  • Be organized, detail-oriented and with good problem solving skills
  • High level of integrity and take ownership and accountability of results
Others:
  • You are required to obtain relevant licence if your job involves in regulated activities
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.

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