Associate Director, Pension and Investment Compliance

We are seeking an Associate Director, Pension and Investment Compliance to serve as a senior compliance advisor and second line of defence partner to the pension, trustee and investment businesses.

The successful candidate will work closely with business stakeholders and governance forums to ensure regulatory and compliance risks are appropriately identified, assessed, managed and reported.

Key responsibilities:

• Implement necessary actions to achieve objectives of an effective compliance program, meeting applicable regulatory requirements, and building a strong compliance and risk culture
• Participate in relevant governance committees and forums, providing independent compliance oversight, advice and reporting on regulatory and compliance matters
• Support AIAT CEO in governance matters and report to the Board of AIAT on key regulatory developments, compliance and risk issues
• Provide compliance advice on pension and investment businesses, including Hong Kong and Macau pension-related regulations

The role involves various areas, including:

Trustee Duties (20%)

Oversee trustee service monitoring framework to ensure trustee's fiduciary duties are fulfilled Keep abreast of regulatory developments on trusts and approved trustee role Manage regulatory relations with HK Companies Registry, MPFA and SFC

Advisory (20%)

Provide professional compliance advice to management and general staff Represent the company in attending meetings of the Hong Kong Trustees' Association Keep abreast of regulatory developments and provide impact analysis

Investment Compliance & Governance (10%)

Provide compliance oversight and advisory support for investment activities Review investment-related initiatives, mandates, policies and governance proposals Monitor compliance with internal investment governance requirements

Service Provider Monitoring (10%)

Design, implement and enhance compliance monitoring program relating to pension Oversee monitoring to ensure compliance of service providers appointed by AIAT

Compliance Risk Assessment (10%)

Work with relevant functions and business stakeholders to build a risk control framework Assess compliance, regulatory and related risks

Product and Marketing Materials (10%)

Provide compliance advice on new pension products and services initiatives Ensure marketing materials and client communication are not misleading

Liaison with Principal Intermediary (10%)

Work with Sales and Product Compliance team to oversee and advise on the supervision of Principal Intermediary

Management Reporting (5%)

Communicate compliance matters to management and group Ensure regular/adhoc reports to Board of Directors, Local Management and Governance Committees

Training (5%)

Lead, coach and develop the pension compliance team Work closely with other AIAI Compliance teams to create synergy across team members

Requirements:

• Bachelor's degree holder or above in an appropriate field (e.g., Accounting, Economics, Risk Management, Business Management or Law)
• 10-5 years of solid work experience in the financial industry handling compliance and/or controls, with at least 3-5 years in a supervisory role
• In-depth understanding of the pension business preferred and investment compliance knowledge
• Excellent command of English and Chinese, both written and oral

What's in it for you? We offer opportunities for growth, learning and development as you help our customers and the community live Healthier, Longer, Better Lives.