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Head of Compliance (Financial Advisers)

Date: Jul 13, 2019

Location: Singapore, SG

Company: AIA Careers


To lead and oversee the Compliance Department - a second line of defence in partnership with the business (as first line of defence) to ensure that all regulatory and market conduct risks are efficiently and effectively assessed, mitigated and controlled and that a culture of ethics and compliance is developed and maintained. 


This position reports directly into the Chief Risk Officer in AIAS and matrix report into the CEO,. It monitors and reports results of risk, regulatory compliance and market conduct of (AIA FA) and provides guidance to the Management on matters relating to compliance.  In addition, this position is expected to implement all necessary actions to ensure achievement of the objectives of an effective compliance program for (AIA FA) and implementation of the strategic directions/initiatives of AIAS’ Compliance.



  • Responsible for the overall design, implementation and ongoing enhancement of AIA FA’s Compliance Program that is focused on regulatory, and sales (market conduct) compliance, whilst ensuring its alignment with Business objectives and AIAS Compliance’s strategic directions.
  • Responsible for overseeing the effective implementation, execution and monitoring of AML controls and programs in the Company; providing independent review of sales in fulfilling the Balanced Score Card requirements; and ensuring that all PDPA obligations are understood and adhered to by Company.
  • Responsible for the development of relevant Compliance policies and procedures necessary to support the objectives and values of AIA and for the implementation of corporate policies and procedures to manage corporate-level regulatory risks
  • Responsible for the effective communication of compliance and risk matters including timely and accurate reporting and/or escalation of such matters in accordance with relevant reporting and escalation protocols.
  • Collaborate closely with Sales team to ensure quality recruitment of representatives and putting in place controls and programs to monitor and ensure quality business brought in by the representatives.
  • Develop or oversee development of structural approach and procedures to effectively deal with representatives/sales staff misconduct, from receiving allegations to planning and conducting investigations to taking remedial/recovery actions.
  • Develop and implement an effective education and engagement program through ongoing communication and training to embed a culture of compliance and ethics within AIA FA
  • Responsible for structuring, leading, coaching and developing the compliance team to support the business and ensuring compliance deliverables.



  • Bachelor’s degree holder or, ideally, above, in appropriate field (e.g. Accounting, Economics, Risk Management, Business Management or Law) with 10 years solid work experience in the financial industry handling compliance and/or controls, and at least 5 years in a senior role.
  • In-depth understanding of the Insurance business preferred and, in lieu of insurance, financial services.
  • In depth knowledge of Industry’s operations, regulations and guidelines.
  • A highly disciplined and independent leader with the ability to motivate and engage all levels of staff in organization
  • Computer literate
  • Good command of written and spoken English.
  • Excellent interpersonal skills
  • Independent and able to work under pressure.
  • Must be organized, detail-oriented and analytical.
  • Must possess strong leadership, coaching and influencing skills; strong business acumen; effective change management skills; problem solving and decision making skills.
  • With high level of integrity and takes ownership and accountability of results.

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