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Investment Compliance Specialist

Date: Aug 14, 2019

Location: Shanghai, CN

Company: AIA Careers

Roles and Responsibilities:

1.     Compliance Monitoring & Reporting (70%)

  • Conduct investment compliance monitoring according to Annual Investment Compliance Plan and Investment Compliance Monitoring Procedures;
  • Ascertain the reason if there is any error, breach, exception or incident, assist first line to develop remediation plans, follow up the status and have it recorded in the Beehive system/Investment Compliance Dashboard and report to the respective parties as per the internal and regulatory requirements;
  • Prepare various compliance reports according to the internal/regulatory requirements and submit to relevant parties on a timely basis;

2. Personal Dealing Management & Compliance Training (30%)

  • Manage the PTA system as the administrator as per ‘AIA China Investment Policy - Personal Dealing’ and its implementation procedures, create PTA ID, add/update broker accounts, validate personal trades, manual holding adjustment, violation investigation and clearance, initial/annual/quarterly/certifications monitoring, G&E records review, etc.;
  • Assist  to develop investment related newsletters and conduct various awareness sessions/trainings to the investment-related employees, including orientation and ad hoc ones.


Minimum Job Requirements:

  • Bachelor degree holder or above, in appropriate field (e.g. Accounting, Economics, Finance, Risk Management, Business Management or Law) with over 5 years solid working experience in the financial industry handling Compliance/Internal Audit/Legal/Risk Management/Internal Control/Investment Operations function;
  • At least 3 years working experience at asset management or unit trust/mutual funds. Second line experience in investment area is preferred.
  • Good command of written and spoken English and Mandarin;
  • Good communication and interpersonal skills;
  • A team player with can-do attitude.

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