Corporate Compliance, Principal

2 months 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

This position supports the Head of Corporate Compliance, AIAHK and other Compliance functional leads with the execution and management of corporate compliance-related activities, with a focus on regulatory compliance requirements and Compliance reporting.

In particular, the position will lead the coordination and preparation of Compliance reporting for senior management meetings including Board committees and Compliance and Risk-related committees covered by AIAHK. This also assumes the role of central coordinator of internal Compliance reporting.

Additionally, the position will support, and at times lead, the implementation of regulatory compliance programs and requirements, covering activities under AIAHK's (e.g., AIA International, AIA Everest, Blue Cross, Blue Care and UCare) oversight, for example:
• Regulatory Compliance framework and program (i.e., the program covers multiple regulatory compliance disciplines)
• CRS/FATCA Compliance program
• Outsourcing Compliance program
• Code of Conduct program

Roles and Responsibilities:

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

Compliance Management Reporting and Risk Awareness (30%)
  • In coordination with Compliance functional leads, lead the preparation of compliance risk management reporting for senior management, Boards, and committees. Design templates and cadence that ensure the most efficient use of resources and materials for management presentation.
  • Identify cross compliance risk trends and ensure senior management is appraised of issues timeously. Prepare presentations and briefings to inform management, as necessary.
  • Support departmental initiatives, including but not limited to the provision of input on compliance communication/ awareness activities and publications, plan and deliver relevant compliance training.
Regulatory Compliance Framework and Policy Management (20%)
  • Support, and at times lead, the effective implementation of regulatory compliance framework to ensure all relevant regulatory developments issued by HK and Macau financial regulators are properly identified and addressed by relevant parties. Create activities to monitor the relevant risk owners' implementation of regulatory requirements as needed.
  • Liaise with Law, Group Compliance and relevant departments to ensure timely, completeness and quality of input into the Regulatory Database.
  • Coordinate the implementation of compliance policies and guidelines to business units to ensure compliance with relevant regulatory requirements.
  • Assist with the investigation, analysis and reporting of compliance incidents in relevant areas to ensure regulatory breaches or significant compliance matters are appropriate managed and remediated, as appropriate.
Regulatory Compliance Program Management (30%)
  • Ensure effective implementation of relevant regulatory compliance program, as assigned by the Head of Corporate Compliance, AIAHK, for both AIAHK and AIA Macau branches.
  • 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. Improve business and functional partners' awareness of relevant risk areas through ongoing engagements, communications and training.
  • Support the management of committees that oversee the relevant regulatory compliance programs, as necessary.
  • Assess Conflict of Interest Declarations and Gifts and Entertainment submission to ensure Code of Conduct requirements are complied.
Compliance Transformation and Projects (20%)
  • Support the Head of Corporate Compliance with the identification of areas that require improvement from a three lines of defense perspective, with a focus on corporate compliance related activities. Recommend and lead initiatives to ensure embedment and reassignment of such identified activities.
  • Support the Head of Compliance, the Head of Corporate Compliance and senior management with managing and leading departmental projects, as directed.
  • 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 10 years of relevant experience. Experience working in large insurance companies is preferred.
  • Degree qualified, professional qualifications in accounting, audit or law highly regarded.
  • Strong knowledge in Hong Kong and Macau insurance and pension related regulations, including experience in insurance operations.
  • Possesses an analytical mindset with excellent organizational skills. Experience in data analytics highly preferred.
  • Outstanding written communication and interpersonal abilities.
  • Exceptional attention to detail.
  • Demonstrated ability to influence peers and senior management on compliance risk issues.
  • The ability to communicate in both English and Chinese, as the role requires the ability to read regulations and requirements issued in Chinese.
Others:
  • You are required to obtain relevant license 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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