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Assistant Manager, Regulatory Compliance & Liaison

Date: Jun 11, 2019

Location: Singapore, SG

Company: AIA Careers

 

Key Responsibilities

  • Provide ongoing compliance advisory and support to key business units (BUs) on various business initiatives in order to ensure that the BUs are compliant
  • Conduct gap assessments on new regulatory developments, liaise with BUs to ensure new regulatory requirements are properly implemented, gaps noted are closely monitored to ensure adherence to regulatory requirements
  • Ensure regulatory registers are kept up to date and timely certified by Senior Management, regulatory obligations are effectively embedded into business, monitor and ensure proper remediation of any lapses noted
  • Assist to support the Risk & Compliance Champion framework (“RCC”) in AIAS, to liaise with and proactively engage/ train the RCCs to ensure regulatory requirements are embedded into the business
  • Assist in Regulatory Liaison work i.e. prepare and collate reports/ information required by key Regulators e.g. LIA, MAS and CPFB, to assist in regulatory queries, engagement sessions with Regulators and/or external auditors to ensure AIAS’ relationship with key Regulators are well managed
  • Assist in review of new and existing outsourcing arrangements in the annual due diligence exercise from regulatory perspective
  • Assist in reporting requirements to the MAS, Group, and other internal stakeholders as required
  • Any other ad hoc tasks & projects as assigned by Supervisor

 

Key Requirements

  • Bachelor Degree background (diploma or degree equivalent) 
  • Min. 2 year experience in compliance/regulatory profession in the financial advisory industry
  • CMFAS M5, M8, M9, M9A and HI certification will be an added advantage
  • Ability to think independently, project management, good interpersonal and communication skills
  • Good communication, influencing and presentation skills
  • Proficient in Microsoft Word, Excel and Power Point
  • Excellent team player and good work attitude


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