Not specified (assumed office-based due to the nature of compliance responsibilities).
8 years investment compliance experience
Post-trade compliance monitoring using bloomberg
Aladdin rule coding expertise
AIA is seeking a Manager of Investment Compliance to oversee investment compliance activities, including post-trade monitoring, personal dealing compliance, and e-communication surveillance. The ideal candidate will have at least 8 years of experience in investment compliance and a strong understanding of financial instruments and regulatory requirements
Job Summary
The role is responsible for performing second-line investment compliance oversight including daily post-trade monitoring and market-abuse surveillance.
Candidates must administer Personal Dealing compliance policies and execute monitoring activities in line with the Annual Investment Compliance Plan.
The position requires strong stakeholder management to engage with First Line, Second Line, and Third Line while guiding junior team members.
Matching Summary
Match Score: 85
AIA is seeking a Manager of Investment Compliance to oversee investment compliance activities, including post-trade monitoring, personal dealing compliance, and e-communication surveillance. The ideal candidate will have at least 8 years of experience in investment compliance and a strong understanding of financial instruments and regulatory requirements.
Skills & Requirements
Must-have
8 years investment compliance experience
Post-trade compliance monitoring using Bloomberg
Aladdin rule coding expertise
Personal Dealing policy administration
Annual Investment Compliance Plan execution
E-communication surveillance capabilities
MAS UCITS HK SFC regulatory knowledge
Nice-to-have
Private Assets investment understanding
Shield StarCompliance system knowledge
Mandarin Cantonese Thai Tagalog fluency
Leadership and mentorship abilities
Project management for compliance initiatives
Subject matter expert guidance skills
Key Requirements
Degree in Accounting Finance Economics or Business Management
Minimum 8 years of experience in investment compliance
Strong understanding of financial instruments including derivatives
Broad regulatory knowledge MAS UCITS HK SFC FATCA
Experience in Quality Assurance and compliance monitoring control testing