Market Conduct Compliance, Senior Analyst

2 months ago

Hong Kong, Hong Kong SAR China AIA International Limited. Full time
At AIA we've started an exciting movement to create a healthier, more sustainable future for everyone.

It's about finding new ways to not only better people's lives, but to better the communities and environments we live in. Encompassing our ambition of helping a billion people live Healthier, Longer, Better Lives by 2030.

And to get there, we need ambitious people who believe in playing an important part in shaping that future. People seeking unmatched career and personal growth opportunities, who are driven to work with, and learn from some of the most inspiring and supportive leaders in the business.

Sound like you? Then read on.

About the Role

Support the Associate Director, Market Conduct Compliance team to ensure that AIAHK & Macau operates the in accordance with the AIA Group policies and guidelines and local regulatory requirements in these areas:
1. Assist in the Sales Intermediary Disciplinary Committees including Market Conduct Committee (MCC), Appeal Board (AB) and preparing the relevant reporting
2. Support the team in reviewing and follow up of the red flag / suspicious cases revealed from regular detection and monitoring programs including data analytic and detection tools
3. Prepare the relevant reports and submission
4. Support to comply with the Group standard and regulatory requirement implemented under Market Conduct Compliance

Roles and Responsibilities:

1. Assist in the Sales Intermediary Disciplinary Committees including Market Conduct Committee (MCC), Appeal Board (AB) and preparing the relevant reporting (30%)
  • Assist the MCC and AB agenda, meeting schedule, materials, settlement memo and register
  • 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
  • Follow up the execution of the MCC and AB decision and relevant remedial actions
  • Prepare the relevant reporting on the disciplinary.
2. Support the Team in reviewing and follow up of the red flag / suspicious cases revealed from regular detection and monitoring programs including data analytic and detection tools (30%)
  • Use the data analytic tool to monitor trends of sales conduct and identify high risk cases for investigation.
  • Assist in investigation for high risk sales intermediary
  • Assist in Compliance review and monitoring (e.g. sampling) on the sales intermediary controls
3. Assist in Sales Compliance reporting and Review (20%)
  • Assist in Sales Compliance reporting and Review
  • Prepare the required sales compliance report
4. Assist in relevant Group policies and guidelines in local aspect (10%)
  • Assist Market Conduct Compliance team to coordinate the relevant controls, investigation and reporting process with relevant departments according to the Group Guidelines
5. Other tasks (10%)
  • Assist Associate Director, Market Conduct Compliance on other compliance tasks
  • Ad hoc tasks assigned by Associate Director, Market Conduct Compliance e.g. MCC TOR review, projects.
  • Backup roles of other teammates
  • Reporting tasked by Head of Compliance and Associate Director, Market Conduct Compliance
Minimum Job Requirements:
  • Bachelor's degree in Accounting, Finance, Law or Business with a minimum of 2 years solid working experience in the financial services industry focused on compliance, risk management, legal and/or internal controls
  • Professional qualification in life insurance, Compliance, Internal Audit or related disciplines is preferred
  • 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 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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