Investment Governance, Consultant

AIA Hong Kong and Macau

Investment Governance, Consultant

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

  • Responsible for the interpretation of the regulatory requirement being the first line defense for:
    • Investment Management Activities performed by Investment Management Department
    • Real Estate Investment Department
    • Mortgage Department
    • AIA Pension Asset Management
  • Support Associate Director, Investment Governance in implementation of regulatory requirement and AIA Group requirement for Investment Division.
  • Support in liaising on investment governance related matters with regulators and other stakeholders’ i.e. Group Investment Legal and Governance, Group Investment Compliance, various local stakeholders in negotiating and influencing the outcome.
  • Responsible in certifying that Investment Policies and Investment Procedures are in line with regulatory requirements, as well as governance and internal controls.

Roles & Responsibilities :

1. INVESTMENT GOVERNANCE

  • Responsible for supporting Investment Division in ensuring compliance with both external (regulatory) and internal (Group and Local) requirements.
  • Review of existing processes and procedures, and propose changes for improvements, as well as introducing new processes and procedures.
  • Implementation of new group standard and regulatory policies and guidelines introduced from time to time.
  • Drafting of new policies and procedures.
  • Establish and implement the approval process.
  • Lead and coordinate the approval of policies and procedures.
  • Establish and implement the review process of policies and procedures.
  • Liaison with regulators and stakeholders on investment governance related matters.
  • Regulatory related matters i.e. FATCA, DOI.
  • Coordinate with risk, compliance and legal in interpretation, gaps analysis of new requirement and implementation of new measure to bridge the identified gaps.

2. INVESTMENT CONTROL

  • Accountable for the governance and internal controls of Investment Division’s activities, be the one-stop center in maintaining all investment related policies, guidelines, manual, processes and procedures documentation.
  • Investment Management Governance:
    • Formulating and maintaining an effective investment management controls monitoring processes to ensure investment management function is in compliance with local regulatory bodies and internally established investment restrictions and requirements by performing monitoring tasks.
    • Formulating and maintaining Governing Document – which details out all automated and manual controls for Investment for pre-trade compliance purposes.
    • Ensure accurate and timeliness recordkeeping of all trade override and VMGR approvals, and ensuring approvals are done accordingly.
    • Formulating new policies, guidelines, manual, processes and procedures, where applicable in line with group standards and local regulatory requirement, as well as internal policies, processes, procedures and controls documents.
    • Coordinate the formulation and monitoring of all investment management related forms.

3. TRAINING AND DEVELOPMENT

  • Provide the awareness training and attestation as per regulatory requirement.
  • Formulate the training module that comply with regulatory requirements as well as internal requirements.
  • Collaborate and influence the Group Investment training module.
  • Establish awareness session schedule for Investment Division.

4. INCIDENT REPORTING

  • Coordinate the handling of audit matters till closure.
  • Responsible for coordination of all incident reporting. One-stop point for all incident (errors and breach) reporting for Investment Division.
  • Lead discussion with respective function in identifying root cause and implement new measures to avoid recurrence.

Minimum Job Requirements :

Education:

  • Degree in Law

Experience:

  • At least 5 years’ experience in investment related functions with insurance industry, asset management companies or Banks.
  • Possess knowledge in internal audit, compliance, legal, risk management and experience dealing with regulator.

Special skills:

  • Good understanding in interpreting regulation and implementing internal controls.
  • Drafting of documents.
  • Good working knowledge of Excel, Word, Power Point and BLOOMBERG AIMs.
  • Computer skills and is comfortable working with IT or technology-related systems.
  • Project Management Skills.

Personal attributes:

  • Good interpersonal, presentation and communication skills.
  • Commercially oriented.
  • Process driven with structural approach.
  • Meticulous and detail-oriented person.
  • Able to lead and guide the team.
  • Ability to coordinate with various stakeholders.

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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Vacancy posted 2 days ago

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