Market Conduct Compliance Senior Analyst Role

1 month ago

Hong Kong, Central and Western District, Hong Kong SAR China AIA International Limited. Full time
About AIA International Limited

AIA International Limited is a leading insurance company dedicated to creating a healthier, more sustainable future for everyone. With a strong commitment to helping a billion people live Healthier, Longer, Better Lives by 2030, we are seeking ambitious individuals who share our vision and values.

Job Description: Market Conduct Compliance Senior Analyst

This role is part of the Associate Director, Market Conduct Compliance team and will support ensuring that AIAHK & Macau operates in accordance with the AIA Group policies and guidelines and local regulatory requirements. The successful candidate will have a solid understanding of compliance, risk management, legal, and/or internal controls, as well as experience working in the financial services industry.

Key Responsibilities:
  1. Assist in Sales Intermediary Disciplinary Committees including Market Conduct Committee (MCC), Appeal Board (AB) and preparing relevant reporting.
    • Coordinate MCC and AB agenda, meeting schedule, materials, settlement memo, and register.
    • Update and maintain Terms of Reference of MCC and AB.
    • Communicate MCC and AB decisions to stakeholders.
    • Prepare disciplinary letters for sales intermediaries.
    • Follow up execution of MCC and AB decisions and relevant remedial actions.
    • Prepare relevant reporting on disciplinary matters.
  2. Support Team in reviewing and following up on red flag/suspicious cases revealed from regular detection and monitoring programs including data analytic and detection tools.
    • Use data analytic tool to monitor trends of sales conduct and identify high-risk cases for investigation.
    • Assist in investigation for high-risk sales intermediaries.
    • Conduct Compliance review and monitoring (e.g., sampling) on sales intermediary controls.
  3. Assist in Sales Compliance reporting and Review.
    • Contribute to Sales Compliance reporting and Review.
    • Prepare required sales compliance report.
  4. Assist in relevant Group policies and guidelines in local aspects.
    • Coordinate relevant controls, investigation, and reporting process with relevant departments according to Group Guidelines.
  5. Perform other tasks as assigned by Associate Director, Market Conduct Compliance.
Requirements:
  • Bachelor's degree in Accounting, Finance, Law, or Business with at least 2 years of 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 preferred.
  • In-depth understanding of insurance business preferred.
  • Excellent interpersonal and communication skills, self-motivated, organized, detail-oriented, and good problem-solving skills.
  • High level of integrity, take ownership and accountability of results.
Estimated Salary: HKD 600,000 - HKD 800,000 per annum

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