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Report to: Senior Manager, Compliance
Location: Hochiminh City

Position Objective:
- Proactively design a Distributions Compliance Program to promote compliance and ethical behavior, embedded and enhance culture of compliance, trust and integrity.
- Oversight Distributions Compliance Policies/guidelines which works as a second line of defense to ensure that all regulatory and market conduct risk is efficiently and effectively assessed, mitigated and controlled.
- Leading and Coordinating with other functions to building predictive modeling tool for compliance data analytic (“DA”) project.

Roles and Responsibilities:
Implementation of Distributions Compliance Program (50%)

- Responsible for the overall design Distributions Compliance Program whilst ensuring its alignment with business objectives and AIA Group’s Operating Philosophy.

- Working closely Group Distributions Compliance to ensure sales process gap for all channels are identified and managed.

- Working with relevant functions (internal: BQ, GAS, U&I, CS, etc. and external: GA Directors) to build up and/or implement a risk control framework related to distributions compliance and provide control procedures on issues.

- Execute market best practice for sale conduct monitoring.

- Develop or oversee development of structural approach and procedures to effectively deal with suspected instances of compliance policy violations by employees and/or fraud and misappropriations by agents.

- Responsible for the development of Distributions Compliance policies and procedures necessary to support the objectives and values of the Company to align with (AIA Group) distribution policies and standards. 

- Responsible to oversee implement penalty comply Market Conduct Guidelines and AIA Group Anti-Fraud Policy and Zero Tolerance Approach.

Compliance Data Analytics (30%)

- Responsible for design and development of Predictive Modeling Tools for early warning potential misconduct and generate Compliance Dashboard for risk assessment and monitoring.

- Collaborate and engage with BQ, GA Departments, GA Directors for remediate actions from highlight issuance.

- Joining Data Driven Tribe for standardize producer data to support Compliance Data Analytics.

Implementation of Culture of Compliance and Ethics Program (10%)

- Develop and deliver program through ongoing awareness and training to embed a culture of compliance and ethics within sales forces including: GA, nest and Exchange.

- Collaborate with AD/AT/GAD to rollout onsite awareness activities to uplift agent’s ethical behavior.  
 

Reporting (10%)

- Responsible for the effective communication of distributions compliance matters including timely and accurate reporting and/or escalation of such matters in accordance with relevant reporting and escalation protocols.

- Develop and present distributions compliance dashboard for agency and partnership distribution.

Requirements:

- Education: A bachelor degree

- Experience: At least 8 years of experience in internal audit/ external audit/ internal control/ operational risk.

- Language skills (verbal & written): Fluent English is preferred

- PC skills: Microsoft Office

- Effective interpersonal and communication skills

- Good analytical and problem-solving skills

- Demonstrated ability to apply knowledge of Financial Crime and Investment compliance to consult and provide insight and guidance

- Good time management

- Able to work under pressure

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