Description
About the Role
Support the Associate Director, Market Conduct Compliance team to ensure that AIAHK & Macau operates in accordance with AIA Group policies and guidelines and local regulatory requirements.
Roles and Responsibilities:
- Assist in the Intermediary Disciplinary Committees (30%): assist with Market Conduct Committee (MCC) and Appeal Board (AB) agenda, meeting schedules, materials, and reporting; update terms of reference; coordinate communication of decisions; prepare disciplinary letters; follow up on execution of decisions and remedial actions; prepare relevant reporting on disciplinary actions.
- Support the Team in reviewing and follow-up of red flag/suspicious cases (30%): use data analytic tools to monitor trends of sales conduct; identify high-risk cases for investigation; assist in investigations; review and monitor sales intermediary controls.
- Assist in Sales Compliance reporting and Review (20%): assist in sales compliance reporting and review; prepare required sales compliance reports.
- Assist in relevant Group policies and guidelines in local aspect (10%): assist the Market Conduct Compliance team in coordinating controls, investigations, and reporting processes with relevant departments according to Group Guidelines.
- Other tasks (10%): assist the Associate Director, Market Conduct Compliance on other compliance tasks; perform ad-hoc tasks; backup roles of other teammates; prepare reports 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 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 is preferred.
- In-depth understanding of the insurance business is preferred.
- Good interpersonal and communication skills; self-motivated; good written and spoken communication skills in English and Chinese; independent and able to work under pressure; organised, detail-oriented, and with good problem-solving skills; high level of integrity and takes ownership and accountability of results.