Senior Manager, Investment Compliance (BB-63E6C)
Found in: Neuvoo CN
Bring your career aspirations to life with AIA!Conduct investment compliance risk identification, assessment and report preparation for all kinds of investment projects.
Provide investment compliance advice and feedback on investment initiatives .
Roles and Responsibilities:
1. Compliance Risk Identification & Assessment & Reporting
- Conduct investment compliance risk identification, assessment and report preparation for all kinds of investment projects(Real estate, PE and etc.) and matters;
- Responsible for the specific implementation of the compliance assessment of investment management capabilities;
- Prepare various compliance reports according to regulatory or internal requirements and submit them to relevant stakeholders on a timely basis;
- Track latest regulatory development and provide ongoing guidance and support on the implementation of the regulations by first line;
- Prepare regular investment compliance reports to the local Investment Committee, Group Investment Compliance and other needs.
2. Compliance Review & Monitoring & Management
- Compliance review of various investment policies, operating procedures, investment restrictions and other business management documents;
- Provide consultation, analysis, suggestions and other compliance support for the daily business, feasibility study and innovative investment model of AMC;
- To assist CICL to implement an effective Investment Compliance program on AIA Life AMC, working as a second line of defense in partnership with AMC (as first line of defense) to ensure that all regulatory and compliance risk in AMC is effectively assessed, mitigated and controlled;
- Manage local investment compliance monitoring program to ensure that the relevant investment compliance matters are identified, reviewed, assessed and reported in accordance with the local policies and procedures established;
- Conduct Investment Compliance monitoring according to regulatory requirements and investment compliance plan;
- Provide support to the CICL on various local compliance initiatives.
Minimum Job Requirements:
- Bachelor degree or above with major in in relevant disciplines such as Finance, Law, Auditing, Risk Management and etc..
- Over 8 years solid experience in Compliance/Internal Audit/Risk Management/Legal/ Internal Control function in financial industry with at least 5 years working experience at asset management or life insurance or PE/mutual funds or wealth management of bank.
- Experience of compliance review and passement/internal audit/risk management in Real Estate or Private Equity sector is preferred.
- Good command of written and spoken English and Mandarin.
- Highly motivated self-starter, strong attention to detail, conscientious and flexible good interpersonal and communication skills.
- A team player with can-do attitude.
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.
calendar_today1 day ago
work AIA Group