Associate Director, Corporate Compliance

6 days 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 Head of Compliance, AIAHK and partner with other Compliance functional leads to ensure AIAHK & Macau operates in accordance with the Group Policies and guidelines and local regulatory requirements.
Drive and oversee the implementation of a fit-for-purpose compliance framework on regulatory compliance programs, including the following across all entities under AIAHK's (e.g., AIA International, AIA Everest, Blue Cross, Blue Care and UCare) oversight:
• Regulatory Compliance framework and program
• CRS/FATCA Compliance program
• Outsourcing Compliance program
• Code of Conduct program
This role will also coordinate with other Compliance functional leads to manage compliance governance reporting, inclusive of compliance reports made to Boards and committees covered by AIAHK.

Roles and Responsibilities:

Reporting to the Head of Compliance, AIAHK & Macau, the position will focus on the following activities covering all entities under AIAHK's oversight (e.g., AIA International, AIA Everest, Blue Cross, Blue Care and UCare):

Compliance Management Reporting and Risk Awareness (20%)
  • In coordination with Compliance functional leads, lead the preparation of compliance risk management reporting for senior management, Boards, and committees.
  • Identify cross Compliance functions trends and risks and ensure senior management is appraised of issues timeously.
  • Support departmental initiatives, including but not limited to accurate and appropriate compliance risk reporting and input on compliance communication/ awareness activities and plan/deliver relevant compliance training, in coordination with Compliance functional leads.
Regulatory a nd Code of Conduct Program Management (40%)
  • Ensure effective implementation of FATCA, Common Reporting Standard (CRS) and Outsourcing programs (Programs) for both AIAHK and AIA Macau branches.
  • Advise all relevant departments and functional areas for the Programs. Ensure practical advice is provided.
  • Develop guidelines, templates and presentations to improve the management and execution of the Programs, as well as other regulatory compliance guidelines issued by relevant financial regulators. Continue to improve business and functional partners' awareness of relevant risk areas through ongoing engagements, communications and training.
  • Lead and manage committees that oversee the Programs, and other programs as necessary.
  • Assess Conflict of Interest Declarations and Gifts and Entertainment submission to ensure Code of Conduct requirements are complied.
  • Support the management for complex fraud or whistle-blowing investigation.
Regulatory Compliance Framework and Policy Management (20%)
  • Ensure effective implementation of regulatory compliance framework to ensure all relevant regulatory developments are properly identified and addressed by relevant parties. Partner with relevant risk owners to oversee the implementation of regulatory requirements. Major regulatory developments include guidelines issued by HK and Macau financial regulators.
  • Continue enhancing the protocols for the maintenance of the Regulatory Database. Liaise with Law, Group Compliance and relevant departments to ensure timely, completeness and quality of input.
  • Lead and oversee the implementation of compliance policies and guidelines to business units and partners with the Compliance Assurance function to perform risk-based monitoring activities to ensure existing and new regulatory requirements are complied with.
  • Assist with the investigation, analysis and reporting of compliance incidents in relevant areas to ensure regulatory breaches or significant compliance matters are appropriate managed. Support the oversight of implementation of remedial actions by relevant risk owners.
  • Identify risks and updates assessment on compliance risks, controls and actions for areas acting as the SME in the Risk and Control Assessment (RCA) System for the Compliance function.
Compliance Transformation and Projects (15%)
  • Support the Head of Compliance with the identification of areas that require improvement from a three lines of defense perspective. Recommend and lead initiatives to ensure embedment and reassignment of such identified activities.
  • Support the Head of Compliance and senior management with managing and leading departmental projects, as directed.
Staff Management (5%)
  • Develop talent and support high potential compliance team members and coach them to achieve the next level.
The position may be directed to support with the coordination of regulatory and internal reviews.

Minimum Job Requirements:
  • Proven experience as a compliance professional in a financial institution, with at least 12 years of relevant experience.
  • Degree qualified, professional qualifications in accounting, audit or law highly regarded.
  • Strong knowledge in Hong Kong and Macau insurance and pension related regulations, including practical experience in insurance operations.
  • Possesses an analytical mindset with excellent organizational skills. Demonstrated applied knowledge in data analytics highly preferred.
  • Outstanding communication and interpersonal abilities.
  • Attention to detail.
  • Demonstrated ability to influence peers and senior management on compliance risk issues.
Others:
  • The incumbent is required to obtain relevant license if the 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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