Assistant Manager, Compliance & Risk

Assistant Manager, Compliance & Risk

AIA Group
Hong Kong Macau
5-8 years
Not Specified

Job Description


Bring your career aspirations to life with AIA!Support the Head of Compliance & Risk in performing investment compliance monitoring (including post-trade monitoring), surveillance and reporting in relation to matters concerning AIMHK managed portfolios, SFC licensing, SFC authorized funds and MPF funds, KYC/AML, trading regulations and staff personal dealing.
Roles & Responsibilities:
  • Provide investment compliance monitoring/advice/ support to the company (and group companies if required) in areas such as post-trade monitoring of AIMHK managed portfolios, SFC and MPFA regulatory matters, SFC licensing, SFC authorized funds and MPF funds compliance, KYC/AML, trading regulations, filing and reporting, firm/individual-level regulatory compliance, etc.
  • Handle surveillance of front office (investment, trading and marketing) activities and enforce compliance policies generally.
  • Conduct compliance and risk review regarding investment products and their advertising materials.
  • Monitor personal account dealings, gift/entertainment and other compliance requests, and maintain appropriate records.
  • Monitor and research legal and regulatory developments in HK and promptly report internally of implications for the company.
  • Handle SFC licensing applications, notifications and reporting matters.
  • Assist with the communication with and responding to inquiries from regulators and internal audit team.
  • Maintain and update internal compliance policies, procedures and guidelines.
  • Co-ordinate ad hoc compliance projects.
  • Engagement with stakeholders and development of strong working relationships.
  • Other general business as usual duties.

Minimum Job Requirements:
  • University graduate majoring in Law, Finance, Accounting or relevant disciplines with at least 5 years investment compliance experience in investment management firms.
  • Experience in dealing with SFC authorized funds and MPF funds compliance.
  • Knowledge in Bloomberg AIM Trading Systems and experience in related surveillance work.
  • Experience in liaising and working with group companies and with regulators.
  • Excellent reporting and writing skills.
  • Demonstrated history of adhering to the highest ethical and professional standards.
  • Ability for multitasking and excel in a dynamic environment under pressure.
  • Outstanding attention to detail and organizational skills.
  • Fluency in English and Mandarin (spoken and written), strong communication skills.

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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About AIA Group

For a century, we have served millions of people and generations of families all around the Asia-Pacific region.AIA is the largest independent publicly listed pan-Asian life insurance group – with a presence in 18 markets across the Asia-Pacific region.Our Vision is to be the world’s pre-eminent life insurance provider. That is our service to our customers and our shareholders.Our Purpose is to play a leadership role in driving economic and social development across the region. That is our service to societies and their people.Our Promise to help people live Healthier, Longer, Better Lives.

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