Job Description Summary

An experienced Compliance Specialist to join our collaborative team to provide support in developing and implementing regulatory compliance policies for AIA FA

Position Objective

• Responsible for the effective communication of market misconduct matters including timely and accurate reporting and/or escalation of such matters in accordance with relevant reporting and escalation protocols.
• Oversee the procedures to effectively deal with representative's misconduct, from receiving allegations to planning and conducting investigations to taking remedial/recovery actions
• Responsible for conducting investigations interviews with relevant stakeholders, obtain and assess evidence of alleged misconducts, and provides outcomes of investigations.
• To mete out disciplinary actions in accordance with the Company's Market Conduct Standards.
• To analyse common trends to identify high-risk representatives and sales groups and to conduct relevant portfolio reviews.
• Develop and implement an effective education and engagement program through ongoing communication and training to embed a culture of compliance and ethics.
• Performs other responsibilities and duties periodically assigned by supervisor.

Roles and Responsibilities

• Bachelor's degree holder with 3 to 5 years work experience in the financial industry handling distribution sales compliance.
• In-depth knowledge of Market conduct and/or Balanced Scorecard related regulations.
• CMFAS 5, 9 and HI certified is a plus.
• A highly disciplined and team player with the ability to work well with all stakeholders
• Keen eye for detail and good command of written and spoken English with excellent interpersonal skills.
• Ability to articulate thought processes clearly, concisely and effectively.
• Ability to multi-task and work well in high pressure environment to meet deadlines.
• A team-player with systematic problem-solving approach and have sense of ownership and drive.