Bring your career aspirations to life with AIA!

• To utilise technology and centralised systems to perform second line investment compliance monitoring activities and demonstrate compliance with applicable investment standards, policies and procedures by providing feedback and monitoring results to Group Investment Compliance and the relevant Country Investment Compliance Leaders (“CICLs”);

• To provide support on discharging applicable group-wide disclosure obligations, such as substantial shareholding reporting and other investment compliance initiatives to further enhance internal controls; and

• To perform trend analysis using appropriate indicators and provide results to Group Investment Compliance for consideration as part of its risk-based quality assurance assessment procedures.

Job Description

Second Line Investment Compliance Monitoring Activities

• Utilising centralised systems to further streamline the implementation of the relevant group-wide investment standards, policies and procedures on, among others, disclosures of interest reporting.

• Performing and coordinating daily post-trade investment compliance monitoring activities through relevant Bloomberg modules.

• Establishing, updating and gathering appropriate post-trade and other relevant investment compliance indicators.

• Review rules coded to ensure consistency, accuracy and completeness.

• Developing and maintaining second line trade oversight and market abuse monitoring (equities and fixed income) via Bloomberg Transaction Cost

Analysis module.

• Monitoring of disclosure of Interest alerts via an automated tool and report to Group Investment Compliance and/or CICLs if required.

Trend Analysis and Reporting

• Providing investment compliance monitoring results to Group Investment Compliance and the relevant CICLs taking into account the peculiar local circumstances of LBUs and AMCs.

• Performing trend analysis across the relevant LBUs and AMCs and providing results to Group Investment Compliance with appropriate indicators to be updated from time to time.
• Investigate and report breaches to ensure timely rectification.

Ad-hoc projects: -
• Participate in ad-hoc team projects related to Investment Compliance initiatives and projects.

Job Requirements

• Degree holder in Accounting, Finance, Economics or Business Management with a minimum of 5 years’ experience in investment compliance or related field.
• Solid understanding of financial instruments especially derivatives.
• Strong knowledge of regulatory environment (UCITs etc).
• Knowledge of investment compliance systems.
• Strong presentation and reporting skills.
• Fluency in English.
• Strong project management skills to support investment compliance initiatives and projects.
• A highly articulate and consultative approach.
• Technology savvy and detail oriented.

Build a career with us as we help our customers and the community live healthier, longer, better lives.

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