Investment Compliance, Principal

AIA Group

Kuala Lumpur, Malaysia
Compliance program implementation
Risk assessment program
Regulatory and market conduct risk
This position works closely with the Senior Management Team (SMT) of APAM by monitoring and reporting results of compliance/ethics efforts of the Company and providing guidance to the SMT on matters relating to compliance

Job Summary

  • This position works closely with the Senior Management Team (SMT) of APAM by monitoring and reporting results of compliance/ethics efforts of the Company and providing guidance to the SMT on matters relating to compliance.
  • Responsible for managing the Compliance Department for APAM which works as a second line of defense in partnership with the business (as first line of defense) to ensure that all regulatory and market conduct risk is efficiently and effectively assessed, mitigated and controlled.
  • Develop and implement an effective education program through ongoing communication and training to embed a culture of compliance and ethics within the Company.

Matching Summary

This position works closely with the Senior Management Team (SMT) of APAM by monitoring and reporting results of compliance/ethics efforts of the Company and providing guidance to the SMT on matters relating to compliance.

Skills & Requirements

Must-have

  • compliance program implementation
  • risk assessment program
  • regulatory and market conduct risk
  • culture of ethics and compliance
  • compliance policy violations
  • fraud and misappropriations

Nice-to-have

  • empowering every one of our people
  • live Healthier, Longer, Better Lives
  • solutions-focused advice
  • leadership, coaching and influencing skills
  • business acumen
  • problem solving skills

Key Requirements

  • Bachelor’s degree in Accounting, Finance, Law or Business
  • 10 years solid work experience in financial industry
  • Preferably passed Module 9, 10, 11 of SC Licensing Exam
  • In-depth understanding of fund management business
  • Good interpersonal and communication skills
  • Good written and spoken English and local language
  • Senior Manager position

Work Rights

Not specified

Tailored Resume

Cover Letter