Investment Compliance, Consultant

4 weeks ago

Kuala Lumpur, Malaysia AIA Group Ltd Full time
FIND YOUR 'BETTER' AT AIA

We don't simply believe in being 'The Best'. We believe in better - because there's no limit to how far 'better' can take us.

We believe in empowering every one of our people to find their 'better' - in the work they do, the career they build, the life they live and the difference they make. So that together we can support even more people - including our own - to live Healthier, Longer, Better Lives.

If you believe in better, we'd love to hear from you.

About the Role

This position is responsible to support the Investment Compliance, Principal to ensure that all investment activities carried out by the AIA Bhd. Investment Management Team and AIA Pension and Asset Management Sdn. Bhd. are in accordance with the AIA Investment Governance Framework, AIA Group policies/standards and local regulatory requirements.

Roles and Responsibilities:
  • Conduct investment compliance monitoring according to the Annual Investment Compliance Plan and Investment Compliance Monitoring Procedures to ensure investment activities of funds belonging to AIA Bhd., AIA Public Takaful Bhd., AIA General Berhad and AIA Pension and Asset Management Sdn. Bhd. are carried out in accordance with AIA Investment Standards, rules and regulations.
  • Maintain an effective investment compliance restriction monitoring programme utilizing Bloomberg Compliance Violations Manager (VMGR) and Bloomberg Transactions Cost Analysis (BTCA) to ensure investment activities are conducted in accordance with regulatory and internal limits.
  • Review investment-related marketing materials (i.e. Monthly Fund Performance Updates, Fund Fact Sheets, etc.) for Investment-Linked Funds.
  • Support on automation projects relating to communication surveillance and personal dealing monitoring.
  • Maintain active liaison with AIA Public Takaful Bhd, AIA General Berhad and AIA Pension and Asset Management Sdn. Bhd. and support the respective Compliance teams to implement any Group Investment Compliance initiatives or compliance controls in the local investment process.
  • Adopt data analytics and automate investment compliance monitoring activi
  • Identify and report key risks related to investment activities and make recommendations to mitigate the risks.
  • Assist to perform compliance reporting to Local Chief Investment Officer, Group Investment Compliance, Investment Committee and other related management committees.
  • Proactively engage with business and provide advice / guidance to mitigate key compliance risks. Strengthen compliance engagement with the Investment Management staff to educate and increase awareness of regulatory developments and ethics / compliance risks.
  • Any other duties as may be assigned by the Investment Compliance, Principal.


Job Requirements:
  • Possess a Bachelor's Degree in Accounting / Finance / Business / Actuarial Science / Law.
  • A CFA level certification or at an advanced stage of completion will be an added advantage.
  • Minimum 5 years' working experience in the field of investment / compliance in the fund management / unit trust / insurance industry.
  • Good understanding of investment compliance and regulatory obligations and their application into business processes.
  • Working knowledge of Bloomberg Compliance Manager (CMGR) and Bloomberg Transactions Cost Analysis (BTCA) modules.
  • Strong managerial and leadership skills.
  • Good communication and people management skills. Self-motivated, independent, sound problem solving skills.
  • Pro-active, demonstrates initiatives and looks for areas of improvement.
  • Excellent computer skills i.e. Microsoft Office - MS Word, Excel, Power Point.
  • Good written and spoken communication skills in English.
  • Strong analytical and presentation skills.


Build a career with us as we help our customers and the community live Healthier, Longer, Better Lives.

You must provide all requested information, including Personal Data, to be considered for this career opportunity. Failure to provide such information may influence the processing and outcome of your application. You are responsible for ensuring that the information you submit is accurate and up-to-date.

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